Search for: "Deutsche Bank Securities Inc. "
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1 Jun 2009, 9:10 pm
Broker-dealers that have reached preliminary settlements with federal and state regulators over their misrepresentation of ARS to clients include Citigroup Inc., Deutsche Bank AG, Credit Suisse Group, JP Morgan Chase & Co, Goldman Sachs Group Inc., Merrill Lynch & Co. [read post]
18 Jun 2007, 11:49 pm
The plaintiffs claimed that these sales techniques artificially increased stock prices and violated antitrust laws.Aside from the legal theory interest in the case, it was a significant win for the investment banks, since antitrust law provides for treble damages, which are not available under the securities laws.The firms involved in the case included Credit Suisse; Bear, Stearns; Citigroup; Comerica Inc.; Deutsche Bank Securities Inc.;… [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
18 Aug 2011, 5:04 am
Deutsche Bank Securities Inc., 2011 WL 3084969 (2d Cir. [read post]
25 Sep 2023, 2:26 pm
(DWS), a subsidiary of Deutsche Bank. [read post]
2 Nov 2023, 6:36 am
Morgan Securities LLC (CRD#:79), and Deutsche Bank Securities Inc. [read post]
1 Feb 2021, 9:15 am
Malecki Law is currently investigating allegations around Deutsche Bank Securities Inc. [read post]
4 May 2011, 7:40 pm
Inc. [read post]
3 Sep 2013, 7:00 am
District Court for the Central District Court of California dismissed with prejudice a suit brought by the Federal Deposit Insurance Corporation (FDIC) against Countrywide Securities Corporation, Countrywide Financial Corporation, Bank of America Corporation, Deutsche Bank Securities, Inc. and Goldman, Sachs & Co. [read post]
25 May 2011, 10:36 pm
’s Securities Fraud Lawsuit Against Deutsche Bank and Credit Rating Agencies Over Their Alleged Mishandling of Auction-Rate Securities Can Proceed, Says District Court, Institutional Investor Securities Blog, April 21, 2011 Akamai Technologies Inc’s ARS Lawsuit Against Deutsche Bank Can Proceed, Institutional Investor Securities Blog, March 4, 2011 Auction-Rate Securities Investigations by SEC and… [read post]
24 Aug 2007, 2:53 am
Kirschner, filed a lawsuit Tuesday against law firm Mayer, Brown, Rowe & Mawe; accounting firms Grant Thornton, Ernst & Young and PricewaterhouseCoopers; and Credit Suisse Securities, Bank of America and Deutsche Bank Securities, the investment banks involved in the $583 million IPO. [read post]
20 Jul 2015, 1:59 pm
DB Structured Products, Inc. [read post]
3 Dec 2018, 11:27 am
A preliminary $182M settlement has been reached in a benchmark rigging lawsuit between investors and banks Citigroup Inc. [read post]
20 Mar 2020, 5:17 am
Carlson has a customer dispute in 2015 for entities and individuals involved with Deutsche Bank Securities Inc. investments. [read post]
20 Mar 2020, 5:17 am
Carlson has a customer dispute in 2015 for entities and individuals involved with Deutsche Bank Securities Inc. investments. [read post]
15 Nov 2018, 4:00 am
(GS), Deutsche Bank AG (DB), Morgan Stanley (MS), and JPMorgan Case & Co. [read post]
19 Sep 2008, 3:59 pm
While this is the first auction-rate securities settlement reached by FINRA, state securities regulators have previously announced auction-rate securities settlements with Citigroup, UBS, JP Morgan, Morgan Stanley, Wachovia, Merrill Lynch, Deutsche Bank, Goldman Sachs, Bank of America, and Fidelity. [read post]
3 Jul 2018, 6:00 am
The size of the civil penalties levied against companies has varied widely, from $300,000 (Arab Global) to $30 million (Deutsche Bank AG and Deutsche Bank Securities Inc.). [read post]
14 Jan 2008, 6:18 pm
Inc Deutsche Bank Securities Inc. [read post]
10 Dec 2011, 7:54 pm
JP Morgan Chase, with over $1.2 billion in corporate bonds, and Deutsche Bank, with $1 billion in bonds, are two of its larger unsecured creditors. [read post]
