Search for: "Deutsche Bank Financial LLC"
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11 Mar 2022, 10:05 am
FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations The Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek “best execution” for its customers’ orders, according to a press release on March 8. [read post]
4 Apr 2012, 7:05 am
A Financial Industry Regulatory Authority arbitration panel has ruled in favor of James Zeigon, a former executive for Deutsche Bank AG, in an investment loss case. [read post]
25 Sep 2023, 12:27 pm
(DIMA), a subsidiary of Deutsche Bank AG, in two distinct enforcement actions. [read post]
22 May 2010, 3:55 pm
The Financial Industry Regulatory Authority says that Deutsche Bank Securities and National Financial Services LLC have consented to be fined $925,000 in total for supervisory violations, as well as Regulation SHO short sale restrictions violations. [read post]
28 Sep 2009, 3:54 pm
Citigroup Global Markets, Deutsche Bank Securities, and UBS Securities have agreed to pay fines for Financial Industry Regulatory Authority sanctions over their handling of Vonage LLC stock's initial public offering in 2006. [read post]
2 Oct 2014, 4:21 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013 and thereafter amended, Claimant Fernandez asserted breaches of contract and fiduciary duty; fraud; churning; and manipulation against Respondents Wells Fargo Securities, LLC and Deutsche Bank Securities, Inc... [read post]
13 Sep 2021, 1:15 pm
FINRA Sanctions Deutsche Bank Securities for Supervisory Issues Related to Tender offers According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Deutsche Bank Securities (CRD #2525) $800,000, of which $156,250 is payable to FINRA for supervisory issues. [read post]
13 Apr 2023, 10:19 am
According to his FINRA BrokerCheck profile, Russell was reportedly affiliated with DEUTSCHE BANK SECURITIES INC. [read post]
25 Nov 2015, 8:13 am
The White Law Group is specifically looking at the following Deutsche Bank structured notes: Deutsche Bank Structured Notes tied to Crude Oil Deutsche Bank Structured Notes tied to Steel Deutsche Bank Structured Notes tied to Copper Deutsche Bank Structured Notes tied to Nickel Deutsche Bank Structured Notes tied to Natural Gas Deutsche Bank Structured Notes tied to Coal… [read post]
20 Aug 2021, 5:31 am
The current holder of the note is Deutsche Bank National Trust Company (“Deutsche Bank”), in its capacity as the trustee for Morgan Stanley ... [read post]
6 Jun 2016, 8:57 am
On May 26, 2016, the FDIC reached a $190 million settlement of RMBS claims against eight financial institutions, including Barclays Capital Inc.; Deutsche Bank Securities Inc.; Goldman, Sachs & Co; RBS Securities Inc.; and UBS Securities LLC. [read post]
16 Aug 2018, 5:48 pm
Deutsche Bank to Pay 401(K) Self-Dealing Lawsuit In one of the largest settlements reached involving a financial service company named in a 401(K) self-dealing case, Deutsche Bank (DB) will pay $21.9M to settle allegations that it engaged in self-dealing at the expense of employees. [read post]
14 Jun 2011, 6:57 pm
The board of Regions Financial Corp., the nation’s 12th largest bank, is investigating whether bank executives delayed public disclosure of loans that were going sour during the financial crisis, WSJ reports. [read post]
11 Sep 2017, 4:35 pm
The complaint further alleges that Mangione also misled investors about the origination practices of Deutsche Bank’s wholly-owned subsidiary, DB Home Lending LLC (DB Home) (f/k/a Chapel Funding LLC), which was the primary originator of loans included in the deals. [read post]
20 Jul 2015, 1:59 pm
On July 10, 2015, Judge Alvin Hellerstein of the Southern District of New York granted defendant WMC Mortgage LLC’s motion for judgment on the pleadings in an action brought by the Federal Housing Financial Agency (“FHFA”) and Deutsche Bank National Trust Co. [read post]
2 Sep 2011, 3:14 pm
The companies being sued are: Ally Financial Inc. f/k/a GMAC, LLC Bank of America Corporation Barclays Bank PLC Citigroup, Inc. [read post]
2 Aug 2017, 6:45 am
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
2 Aug 2017, 3:15 pm
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
27 Jul 2017, 12:51 pm
Axiom Investment Advisors, LLC v. [read post]
29 Feb 2016, 10:23 am
Grom (“Grom), a Deutsche Bank Securities, Inc. [read post]
