Violation Tracker Parent Company Summary
Parent Company Name:
Deutsche Bank
Ownership Structure:
publicly traded (ticker symbol DB)
Headquartered in:
Germany
Major Industry:
financial services
Specific Industry:
banking & securities
Penalty total since 2000:
$17,995,700,778
Number of records:
55
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
|---|---|---|
| financial offenses | $14,975,196,678 | 41 |
| competition-related offenses | $2,994,448,850 | 10 |
| employment-related offenses | $21,900,000 | 1 |
| miscellaneous offenses | $4,150,000 | 2 |
| safety-related offenses | $5,250 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| toxic securities abuses | $9,584,421,897 | 7 |
| investor protection violation | $3,984,084,828 | 23 |
| interest rate benchmark manipulation | $2,771,600,000 | 7 |
| tax violations | $679,659,153 | 3 |
| anti-money-laundering deficiencies | $466,000,000 | 2 |
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.
Associated Names:
DB GROUP SVC UK LIMITED; DB Structured Products, Inc.; Deutsche Asset Management, Inc.; Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.; DEUTSCHE BANK; DEUTSCHE BANK AG AND DEUTSCHE BANK SECURITIES; Deutsche Bank Americas Holding Corp.; DEUTSCHE BANK ENERGY TRADING LL; Deutsche Bank Securities, Inc. and Deutsche Bank AG; DEUTSCHE BANK SUISSE SA; DEUTSCHE BANK TRUST AMERICAS AND DEUTSCHE BANK SECURITIES; Deutsche Bank Trust Company Americas; DEUTSCHE BANK USA; De [...]
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Individual Penalty Records:
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| Company | Primary Offense Type |
Year |
Agency | Penalty Amount |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | data submission deficiencies | 2002 | SEC | $1,650,000 |
| Deutsche Bank | investor protection violation | 2002 | MULTI-AG | $80,000,000 |
| Deutsche Bank A.G. | economic sanction violation | 2003 | OFAC | $5,500 |
| Deutsche Asset Management, Inc. | investor protection violation | 2003 | SEC | $750,000 |
| Deutsche Bank | economic sanction violation | 2004 | OFAC | $5,500 |
| Deutsche Bank Securities Inc. | investor protection violation | 2004 | SEC | $87,500,000 |
| Deutsche Bank Securities Inc. | investor protection violation | 2005 | MULTI-FIN | (*) $28,750,000 |
| Deutsche Bank Securities, Inc. | investor protection violation | 2006 | SEC | $442,954 |
| Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. | investor protection violation | 2006 | SEC | $17,200,000 |
| Deutsche Investment Management Americas, Inc. et al. | investor protection violation | 2006 | SEC | $19,329,729 |
| Deutsche Bank AG | investor protection violation | 2006 | NY-AG | (*) $208,000,000 |
| Deutsche Bank Trust Company Americas | investor protection violation | 2007 | SEC | $750,000 |
| Deutsche Bank Securities, Inc. and Deutsche Bank AG | investor protection violation | 2008 | MULTI-AG | $3,348,333,333 |
| Deutsche Bank Securities Inc. | investor protection violation | 2008 | MULTI-FIN | (*) $15,000,000 |
| Deutsche Bank Securities, Inc. | investor protection violation | 2009 | NJ-AG | $1,057,350 |
| Deutsche Bank AG | tax violations | 2010 | USAO | $553,633,153 |
| Deutsche Bank Securities Inc. | investor protection violation | 2010 | NC-SEC | $7,800,000 |
| Deutsche Bank Securities | toxic securities abuses | 2011 | NCUA | $145,000,000 |
| Deutsche Bank AG | toxic securities abuses | 2012 | USAO | $202,300,000 |
| Deutsche Bank AG | toxic securities abuses | 2013 | FHFA | $1,925,000,000 |
| Deutsche Bank Energy Trading LL | energy market manipulation | 2013 | FERC | $1,670,000 |
| DB Structured Products, Inc. | toxic securities abuses | 2013 | NV-AG | $11,500,000 |
| Deutsche Bank Trust Company Americas | economic sanction violation | 2013 | OFAC | $19,800 |
| Deutsche Bank Securities Inc. | investor protection violation | 2013 | MA-SEC | $17,500,000 |
| DEUTSCHE BANK USA | workplace safety or health violation | 2013 | OSHA | $5,250 |
| Deutsche Bank Securities | accounting fraud or deficiencies | 2014 | CFTC | $3,000,000 |
| Deutsche Bank AG | economic sanction violation | 2015 | FED | $58,000,000 |
| Deutsche Bank AG | interest rate benchmark manipulation | 2015 | DOJ_CRIMINAL | $775,000,000 |
| Deutsche Bank AG | investor protection violation | 2015 | SEC | $55,000,000 |
| Deutsche Bank AG | data submission deficiencies | 2015 | CFTC | $2,500,000 |
| Deutsche Bank | interest rate benchmark manipulation | 2015 | CFTC | $800,000,000 |
| Deutsche Bank (Suisse) SA | tax violations | 2015 | DOJ_TAX | $31,026,000 |
| Deutsche Bank | interest rate benchmark manipulation | 2015 | NY-DFS | $600,000,000 |
| Deutsche Bank | economic sanction violation | 2015 | NY-DFS | $200,000,000 |
| Deutsche Bank Securities | investor protection violation | 2016 | SEC | $9,500,000 |
| Deutsche Bank | investor protection violation | 2016 | SEC | $18,500,000 |
| Deutsche Bank Securities Inc. | toxic securities abuses | 2016 | VA-AG | $5,621,897 |
| Deutsche Bank Securities, Inc. | investor protection violation | 2016 | NY-AG | (*) $37,000,000 |
| Deutsche Bank | toxic securities abuses | 2017 | DOJ_CIVIL | $7,200,000,000 |
| Deutsche Bank AG | anti-money-laundering deficiencies | 2017 | FED | $41,000,000 |
| Deutsche Bank AG | interest rate benchmark manipulation | 2017 | FED | $156,600,000 |
| DB Group Services (UK) Limited | interest rate benchmark manipulation | 2017 | DOJ_ANTITRUST | $150,000,000 |
| Deutsche Bank | tax violations | 2017 | USAO | $95,000,000 |
| Deutsche Bank | interest rate benchmark manipulation | 2017 | MULTI-AG | $220,000,000 |
| Deutsche Bank | toxic securities abuses | 2017 | MD-AG | $95,000,000 |
| Deutsche Bank AG | anti-money-laundering deficiencies | 2017 | NY-DFS | $425,000,000 |
| Deutsche Bank Securities Inc. | interest rate benchmark manipulation | 2018 | CFTC | $70,000,000 |
| Deutsche Bank AG and Deutsche Bank Securities Inc. | investor protection violation | 2018 | CFTC | $30,000,000 |
| Deutsche Bank Securities Inc. | investor protection violation | 2018 | SEC | $4,450,000 |
| Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. | investor protection violation | 2018 | SEC | $73,200,000 |
| Deutsche Bank AG | foreign exchange market manipulation | 2018 | NY-DFS | $205,000,000 |
| Deutsche Bank Americas Holding Corp. | benefit plan administrator violation | 2019 | private lawsuit-federal | $21,900,000 |
| Deutsche Bank Securities Inc. | investor protection violation | 2019 | SEC | $2,971,462 |
| Deutsche Bank Trust Company Americas | investor protection violation | 2019 | SEC | $500,000 |
| Deutsche Bank AG | Foreign Corrupt Practices Act | 2019 | SEC | $16,178,850 |
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