DWS INVESTMENT MANAGEMENT AMERICAS, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 104518). Regulatory assets under management: $199.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 81 people.
| Name | Role | Location |
|---|---|---|
| Thomas J Morgan | TREASURER | Jackson, WY |
| Thomas Morgan | TREASURER | Wilmington, DE |
| Michelle Sharon Goveia | CHIEF COMPLIANCE OFFICER | — |
| John Brian Millette | CHIEF LEGAL OFFICER | — |
| David S Bianco | DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND PRESIDENT; DIRECTOR,CHIEF EXECUTIVE OFFICER AND PRESIDENT | — |
| Sandy Sculac | CHIEF OPERATING OFFICER | — |
| George L Catrambone | DIRECTOR; DIRECTOR & CHAIRMAN | — |
| Hepsen Uzcan | DIRECTOR | — |
| Rheeza Ramos Baluyot | CHIEF FINANCIAL OFFICER & TREASURER | — |
| Thomas Kenneth Morgan | TREASURER | — |
| Nancy Lee Tanzil | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| Thomas No Middle Name Morgan | TREASURER | — |
| Wallace Ryan Scott | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | — |
| GROHOWSKI LEO P | EXECUTIVE VICE PRESIDENT | — |
| HUGHES JUSTIN JAMES | DIRECTOR; PRESIDENT & CHIEF OPERATING OFFICER & DIRECTOR | — |
| KAHN HAROLD DAVID | CFO & TREASURER | — |
| MOGAVERO ERIK PETER | CHIEF COMPLIANCE OFFICER | — |
| EGGERS THOMAS FREDERICK | EXECUTIVE VICE PRESIDENT; PRESIDENT, CEO | — |
| BUTTERLY WILLIAM GEORGE | SECRETARY; SECRETARY, GENERAL COUNSEL, CHIEF LEGAL OFFICER; SECRETARY, GENERAL COUNSEL, CLO | — |
| COLON MICHAEL RAY | DIRECTOR & CHIEF OPERATING OFFICER | — |
| ROBBINS JOHN FRANKLYN | CHIEF COMPLIANCE OFFICER | — |
| BIRMINGHAM JENNIFER | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | — |
| SCHWARZER AXEL | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| CULLEN MARK HUNTER | EXECUTIVE VICE PRESIDENT; GLOBAL CHIEF OPERATING OFFICER | — |
| CAMPION PATRICK MARTIN | EXECUTIVE VICE PRESIDENT | — |
Showing 10 of 90 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-30 | regulatory | ON APRIL 30, 2026, DEUTSCHE BANK AG, LONDON BRANCH ("DBAG") ENTERED INTO A SETTLEMENT WITH THE UNITED KINGDOM'S OFFICE OF FINANCIAL SANCTIONS IMPLEMENTATION ("OFSI") IN WHICH OFSI FOUND THAT DBAG VIOLATED REGULATION 12 OF THE RUSSIA (SANCTIONS) (EU EXIT) REGULATIONS 2019 FOR PROCESSING TWO PAYMENT T… | Final | $224K |
| 2026-03-12 | regulatory | ON MARCH 12, 2026, THE SAUDI CENTRAL BANK ("SAMA") FOUND THAT DEUTSCHE BANK AG, RIYADH BRANCH ("DBAG") VIOLATED ARTICLE 17 OF THE SAUDI BANKING CONTROL LAW FOR DEPOSIT REPORTING DISCREPANCIES IN DBAG'S SEPTEMBER 2025 AND OCTOBER 2025 REPORTS TO SAMA. | Final | $1K |
| 2025-06-09 | regulatory | THE SECURITIES AND FUTURES COMMISSION OF HONG KONG (THE "SFC") COMMENCED INVESTIGATIONS INTO DEUTSCHE BANK AG, HONG KONG BRANCH ("DBHK") FOLLOWING SELF-REPORTS MADE BY DBHK REGARDING SELF-IDENTIFIED INCIDENTS, WHICH THE SFC FOUND VIOLATED GENERAL PRINCIPLES 2 (DILIGENCE), 7 (COMPLIANCE), AND PARAGRA… | Final | $3.0M |
| 2025-06-02 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR CREDIT") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO COMPLY WITH ICE CLEAR CREDIT RULE 404(B) RELATING TO THE TIMELY SUBMISSION OF TWO END-OF-DAY PRICES. | Final | $4K |
| 2025-04-11 | regulatory | BLOOMBERG SEF LLC ("BSEF") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO REPORT ERROR TRADES IN A TIMELY MANNER IN ACCORDANCE WITH BSEF RULES, AND THAT DBAG FAILED TO ADMINISTER SUPERVISORY PROCEDURES TO ENSURE THAT ERROR TRADES WERE PROPERLY REPORTED AND CORRECTED ON BSEF. | Final | $135K |
| 2025-03-24 | regulatory | ON MAY 13, 2025, THE RESERVE BANK OF INDIA ("RBI") FOUND THAT DEUTSCHE BANK AG, INDIA ("DBAG") VIOLATED AN RBI DIRECTIVE BY FAILING TO REGISTER CERTAIN LARGE ACCOUNTS WITH THE CREDIT REPOSITORY OF INFORMATION ON LARGE CREDIT ("CRILC") PLATFORM. | Final | $58K |
| 2025-03-17 | regulatory | ON APRIL 1, 2025, DWS GROUP GMBH & CO. KGAA AND DWS INVESTMENT GMBH (TOGETHER, "DWS") RECEIVED AN ADMINISTRATIVE FINE NOTICE FROM THE FRANKFURT PUBLIC PROSECUTOR FINDING THAT DWS COMMITTED AN ADMINISTRATIVE OFFENSE BY NEGLIGENTLY BREACHING A REQUIREMENT REGARDING PROPER BUSINESS OPERATIONS IN THE GE… | Final | $27.5M |
| 2024-07-04 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") DETERMINED THAT THE CONSOLIDATED FINANCIAL STATEMENTS OF DEUTSCHE BANK AG ("DBAG") FOR FY2019 MISAPPLIED THE INTERNATIONAL FINANCIAL REPORTING STANDARDS ("IFRS") - INTERNATIONAL ACCOUNTING STANDARDS ("IAS") RELATING TO SPECIFICS OF THE DIS… | Final | — |
| 2024-06-20 | regulatory | THE SECURITIES AND COMMODITIES AUTHORITY - UAE ("SCA") FOUND THAT DEUTSCHE BANK AG, DUBAI BRANCH (DEUTSCHE SECURITIES AND SERVICES) ("DSS") FAILED TO TIMELY SUBMIT A REQUIRED ANNUAL FINANCIAL REPORT FOR THE PERIOD ENDING DECEMBER 31, 2023. | On Appeal | $14K |
| 2024-04-24 | regulatory | EUREX DEUTSCHLAND ("EUREX") FOUND THAT, IN NOVEMBER 2023, DEUTSCHE BANK AG, FRANKFURT AM MAIN ("DB AG") FAILED TO CONVERT 16 SHORT CODES INTO LONG CODES AS REQUIRED BY SECTION 72 OF THE EUREX EXCHANGE RULES, RESULTING IN A VIOLATION OF SECTION 26 G OF THE GERMAN STOCK EXCHANGE ACT AS WELL AS ARTICLE… | Final | — |