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11 Mar 2022, 10:05 am
The post Deutsche Bank Securities, Inc. [read post]
21 Jul 2010, 2:52 pm
FINRA fined Deutsche Bank Securities Inc. $7.5 million for negligently misrepresenting delinquency data in connection with the issuance of subprime securities. [read post]
4 Sep 2021, 6:31 am
FINRA has suspended Deutsche Bank Securities Inc. broker Garrett Neubart from the securities industry for two months. [read post]
22 Feb 2018, 3:01 pm
On February 12, 2018, the Securities and Exchange Commission (“SEC”) instituted an enforcement action against Deutsche Bank Securities Inc. [read post]
15 Feb 2018, 7:53 am
Last week, the Securities and Exchange Commission (SEC), brought an enforcement action against Deutsche Bank Securities Inc., forcing the bank to repay more than $3.7 million to customers, including $1.48 million that was ordered as disgorgement. [read post]
7 Mar 2013, 8:38 am
Deutsche Bank Securities Inc. [read post]
13 Feb 2018, 6:49 am
The Securities and Exchange Commission said it instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay more than $3.7 million to customers, which includes $1.48 million that was ordered as disgorgement. [read post]
15 Jul 2013, 10:25 am
Deutsche Bank Securities Inc. [read post]
4 Mar 2011, 12:32 pm
The court also held that Akamai clearly pleaded Deutsche Bank's control over Deutsche Bank Securities Inc., the subsidiary that allegedly advised the company to buy the toxic ARS. [read post]
20 Dec 2013, 6:57 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Deutsche Bank Securities, Inc. $6.5 million and censured the firm for serious financial and operational deficiencies primarily related to its enhanced lending program. [read post]
11 Apr 2011, 5:20 am
Unless you’re in the financial services industry, most Americans have no idea about the proposed merger between the New York Stock Exchange and Deutsche Börse (technically it will be a merger between NYSE Euronext, Inc., founded April 2007, and Deutsche Börse). [read post]
25 Sep 2023, 12:27 pm
SEC charges DWS with Anti-Money Laundering Violations and ESG Misstatements According to a press announcement, the Securities and Exchange Commission (SEC) has recently taken action against DWS Investment Management Americas Inc. [read post]
25 Sep 2023, 6:01 am
The Securities and Exchange Commission today charged registered investment adviser DWS Investment Management Americas Inc. [read post]
10 Mar 2009, 2:59 am
Law360 is reporting that the U.S. investment and securities arm of Germany's Deutsche Bank is suing a former employee it claims stole confidential information and poached two assistants when he took a job with rival Morgan Stanley on Friday.This suit comes close on the heels of a suit filed by Merrill Lynch against Deutsche Bank for poaching 12 senior bankers from Merrill Lynch: [www.bloomberg.com].Deutsche Bank Securities Inc. filed a… [read post]
30 Jan 2018, 1:38 pm
Dollar ISDAFIX Benchmark Swap Rates (CFTC Press Release) The CFTC filed an Order against Deutsche Bank Securities Inc. [read post]
22 Jul 2014, 9:15 am
On July 16, 2014, a three-judge Second Circuit panel affirmed the dismissal of a securities class action against Deutsche Bank AG and several underwriters. [read post]
30 Jan 2018, 2:50 am
CFTC Orders Deutsche Bank Securities Inc. to Pay $70 Million Penalty for Attempted Manipulation of U.S. [read post]
11 May 2012, 6:32 am
Deutsche Bank AG, DB Structured Products, Inc., Deutsche Bank Securities, Inc. [read post]
21 Apr 2011, 7:49 pm
District Court for the Northern District of California says that the auction securities lawsuit filed by Anschutz Corp. against Deutsche Bank Securities Inc. and a number of credit rating agencies can proceed. [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]
