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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Deutsche Bank
Ownership Structure: publicly traded
Headquartered in: Germany
Major Industry: financial services
Specific Industry: banking & securities
Penalty total since 2000: $20,011,467,563
Number of records: 99
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$15,634,467,27866
competition-related offenses$4,285,373,60727
consumer-protection-related offenses$65,571,4282
employment-related offenses$21,900,0001
miscellaneous offenses$4,150,0002
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$9,584,421,8977
investor protection violation$4,306,666,82844
price-fixing or anti-competitive practices$4,139,103,33324
tax violations$679,659,1533
anti-money-laundering deficiencies$652,000,0003
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYear sort iconAgencyPenalty Amount
Deutsche Bank Securities Inc.data submission deficiencies2002SEC$1,650,000
Deutsche Bankinvestor protection violation2002MULTI-AG$80,000,000
Deutsche Bank Securities Inc.investor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Deutsche Bank A.G.economic sanction violation2003OFAC$5,500
Deutsche Asset Management, Inc.investor protection violation2003SEC$750,000
Deutsche Bankeconomic sanction violation2004OFAC$5,500
Deutsche Bank Securities Inc.investor protection violation2004SEC$87,500,000
Deutsche Bank Securities, Inc.investor protection violation2004FINRA$15,000
Deutsche Bank Securities, Inc.investor protection violation2004FINRA$5,000,000
Deutsche Bank Securities, Inc.investor protection violation2004FINRA$5,290,000
Deutsche Bank Securities Inc.investor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000
Deutsche Bank Securities, Inc.investor protection violation2006SEC$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.investor protection violation2006SEC$17,200,000
Deutsche Investment Management Americas, Inc. et al.investor protection violation2006SEC$19,329,729
Deutsche Bank AGinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
Deutsche Bank Trust Company Americasinvestor protection violation2007SEC$750,000
Deutsche Bank Securities, Inc. and Deutsche Bank AGinvestor protection violation2008MULTI-AG$3,348,333,333
Deutsche Bank Securities Inc.investor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Deutsche Bank Securities, Inc.,investor protection violation2008FINRA$150,000
Deutsche Bank Securities, Inc.investor protection violation2009NJ-AG$1,057,350
Deutsche Bankinvestor protection violation2009FINRA$152,000
Deutsche Bank AGtax violations2010USAO$553,633,153
Deutsche Bank Securities Inc.investor protection violation2010NC-SEC$7,800,000
Deutsche Bank Securities Inc.investor protection violation2010FINRA$7,500,000
Deutsche Bank Securitiesinvestor protection violation2010FINRA$575,000
Deutsche Bank Securitiestoxic securities abuses2011NCUA$145,000,000
Deutsche Bank AGtoxic securities abuses2012USAO$202,300,000
Deutsche Bankinvestor protection violation2012private lawsuit-federal$32,500,000
Deutsche Bank AGtoxic securities abuses2013FHFA$1,925,000,000
Deutsche Bank Energy Trading LLprice-fixing or anti-competitive practices2013FERC$1,670,000
DB Structured Products, Inc.toxic securities abuses2013NV-AG$11,500,000
Deutsche Bank Trust Company Americaseconomic sanction violation2013OFAC$19,800
Deutsche Bank Securities Inc.investor protection violation2013MA-SEC$17,500,000
Deutsche Bank Securities, Inc.investor protection violation2013FINRA$6,500,000
DEUTSCHE BANK USAworkplace safety or health violation2013OSHA$5,250
Deutsche Bank Securitiesaccounting fraud or deficiencies2014CFTC$3,000,000
Deutsche Bank Securities Inc.investor protection violation2014FINRA$4,000,000
Deutsche Bank AGeconomic sanction violation2015FED$58,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$775,000,000
Deutsche Bank AGinvestor protection violation2015SEC$55,000,000
Deutsche Bank AGdata submission deficiencies2015CFTC$2,500,000
Deutsche Bankprice-fixing or anti-competitive practices2015CFTC$800,000,000
Deutsche Bank (Suisse) SAtax violations2015DOJ_TAX$31,026,000
Deutsche Bankprice-fixing or anti-competitive practices2015NY-DFS$600,000,000
Deutsche Bankeconomic sanction violation2015NY-DFS$200,000,000
Deutsche Bank Securities Inc.investor protection violation2015FINRA$1,400,000
Deutsche Bank Securities Inc.consumer protection violation2015private lawsuit-federal$10,571,428
Deutsche Bank Securitiesinvestor protection violation2016SEC$9,500,000
Deutsche Bankinvestor protection violation2016SEC$18,500,000
Deutsche Bank Securities Inc.toxic securities abuses2016VA-AG$5,621,897
Deutsche Bank Securities, Inc.investor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Deutsche Bank Securities Inc.investor protection violation2016FINRA$3,250,000
Deutsche Bank Securities Inc.investor protection violation2016FINRA$12,500,000
Deutsche Bank Securities Inc.investor protection violation2016FINRA$6,000,000
Deutsche BankAGprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Deutsche Banktoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Deutsche Bank AGanti-money-laundering deficiencies2017FED$41,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2017FED$156,600,000
DB Group Services (UK) Limitedprice-fixing or anti-competitive practices2017DOJ_ANTITRUST$150,000,000
Deutsche Banktax violations2017USAO$95,000,000
Deutsche Bankprice-fixing or anti-competitive practices2017MULTI-AG$220,000,000
Deutsche Banktoxic securities abuses2017MD-AG$95,000,000
Deutsche Bank AGanti-money-laundering deficiencies2017NY-DFS$425,000,000
Deutsche Bank Securities Inc.investor protection violation2017FINRA$2,500,000
Deutsche Bank AGprice-fixing or anti-competitive practices2017private lawsuit-federal$77,000,000
Deutsche Bank Securities Inc.price-fixing or anti-competitive practices2018CFTC$70,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.investor protection violation2018CFTC$30,000,000
Deutsche Bank Securities Inc.investor protection violation2018SEC$4,450,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.investor protection violation2018SEC$73,200,000
Deutsche Bank AGprice-fixing or anti-competitive practices2018NY-DFS$205,000,000
Deutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$240,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2018private lawsuit-federal$170,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2018private lawsuit-federal$190,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Deutsche Bank Americas Holding Corp.benefit plan administrator violation2019private lawsuit-federal$21,900,000
Deutsche Bank Securities Inc.investor protection violation2019SEC$2,971,462
Deutsche Bank Trust Company Americasinvestor protection violation2019SEC$500,000
Deutsche Bank AGForeign Corrupt Practices Act2019SEC$16,178,850
Deutsche Bank AGconsumer protection violation2019private lawsuit-federal$55,000,000
Deutsche Bank AGinvestor protection violation2020CFTC$9,000,000
Deutsche Bank Securities Inc.investor protection violation2020CFTC$1,250,000
Deutsche Bank AG and Deutsche Bank Trust Co. Americabanking violation2020NY-DFS$150,000,000
Deutsche Bank Trust Company Americaseconomic sanction violation2020OFAC$583,100
Deutsche Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$80,000,000
Deutsche Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$15,000,000
Deutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Deutsche Bank AGForeign Corrupt Practices Act2021SEC$43,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2021private lawsuit-federal$38,000,000
Deutsche Bank Securities Inc.price-fixing or anti-competitive practices2021private lawsuit-federal$48,500,000
Deutsche Bankinvestor protection violation2022CFTC$75,000,000
Deutsche Bank Securities Inc.investor protection violation2022SEC$125,000,000
Deutsche Bank Trust Company Americasbanking violation2022FED$105,500
Deutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$60,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
Deutsche Bank AGanti-money-laundering deficiencies2023FED$186,000,000
DWS Investment Management Americas Inc.investor protection violation2023SEC$25,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2023private lawsuit-federal$13,000,000
Deutsche Bank AGprice-fixing or anti-competitive practices2023private lawsuit-federal$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.