SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme
The Securities and Exchange Commission today charged Matthew Motil, host of the podcast, “The Cash Flow King,” for fraudulently raising approximately $11…
Stocks
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Stocks
SEC Charges GTT Communications for Disclosure Failures
The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose material information about unsupported adjustments the company made…
Stocks
Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments
The Securities and Exchange Commission today charged registered investment adviser DWS Investment Management Americas Inc. (DIMA or DWS), a subsidiary of Deutsche…
Investing
SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties
The Securities and Exchange Commission today announced that American Infrastructure Funds LLC (AIM), a Foster City, California-based registered investment adviser to private…
Stocks
SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations
The Securities and Exchange Commission today announced settled charges against broker-dealer Citadel Securities LLC for violating a provision of Regulation SHO, the…
Stocks
Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data
The Securities and Exchange Commission today announced settled charges against Goldman Sachs & Co. LLC for failing to provide complete and accurate…
Investing
2023 Employee Benefits in the United States — 2023-09-21
Retirement benefits were available to 94 percent of private industry union workers and 68 percent of private industry nonunion workers in March…
Investing
2021–22 Unpaid Eldercare in the United States – Data from the American Time Use Survey — 2023-09-21
Fourteen percent of the civilian noninstitutional population age 15 and over, or 37.1 million people, provided unpaid eldercare, the U.S. Bureau of…
Banking
OCC Enforcement Actions and Terminations — 2023-09-21
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today released new enforcement actions taken against national banks, federal savings associations, and…
Stocks
SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors
The Securities and Exchange Commission today announced charges against Mexico-based company Aras Investment Business Group S.A.P.I. de C.V., its CEO Armando Gutierrez…
Banking
Agencies Extend Favorable Community Reinvestment Act Consideration of Revitalization Activities in Certain Disaster Areas Affected by Hurricane Maria — 2023-09-20
The federal bank regulatory agencies today announced they are extending the period for giving favorable consideration under their Community Reinvestment Act (CRA)…
Stocks
SEC Approves Revised Privacy Act Rule
The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations under the Privacy Act, which is the principal…
Investing
SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names
The Securities and Exchange Commission today adopted amendments to the Investment Company Act “Names Rule,” which addresses fund names that are likely…
Investing
State Job Openings and Labor Turnover News Release - 2023 M07 Results — 2023-09-19
Job openings rates decreased in 9 states and increased in 3 states on the last business day of July, the U.S. Bureau…
Investing
State Employment and Unemployment (Monthly) News Release - 2023 M08 Results — 2023-09-19
Unemployment rates were higher in August in 10 states, lower in 2 states, and stable in 38 states and the District of…
Stocks
SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community
The Securities and Exchange Commission today charged Richmond, California resident Tilila Walker Sumchai with raising approximately $11.8 million from more than 1,000…
Investing
SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official
The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael…
Stocks
SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public, in-person, meeting on September 21 at 10 a.m. ET at…
Stocks
SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule
The Securities and Exchange Commission today announced settled charges against CBRE, Inc. (CBRE), a Dallas-based commercial real estate services and investment firm…
Stocks
SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility
The Securities and Exchange Commission today announced that it has posted to sec.gov the agency’s Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic…
Stocks
SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction
The Securities and Exchange Commission today charged Lyft Inc. for failing to disclose a company board director’s role in a shareholder’s sale…
Investing
August 2023 U.S. Import and Export Price Indexes — 2023-09-15
U.S. import prices rose 0.5 percent in August, after ticking up 0.1 percent the previous month, the U.S. Bureau of Labor Statistics…
Stocks
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily…
Investing
August 2023 Producer Price Index — 2023-09-14
The Producer Price Index for final demand increased 0.7 percent in August, seasonally adjusted, after rising 0.4 percent in July, the U.S.…