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:
$12,552,639,548
Number of records:
35
| Top 10 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| toxic securities abuses | $9,472,300,000 | 4 |
| interest rate benchmark manipulation | $1,951,600,000 | 5 |
| tax violations | $679,659,153 | 3 |
| investor protection violation | $216,144,145 | 11 |
| securities issuance or trading violation | $103,200,000 | 2 |
| banking violation | $58,000,000 | 1 |
| anti-money-laundering deficiencies | $41,000,000 | 1 |
| benefit plan administrator violation | $21,900,000 | 1 |
| data submission deficiencies | $4,150,000 | 2 |
| accounting fraud or deficiencies | $3,000,000 | 1 |
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 dollar total above may be adjusted to account for the fact that the list of 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. Duplicate penalty amounts are marked with an asterisk in the list below.
Associated Names:
DB GROUP SVC UK LIMITED; 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 SUISSE SA; DEUTSCHE BANK TRUST AMERICAS AND DEUTSCHE BANK SECURITIES; Deutsche Bank Trust Company Americas; DEUTSCHE BANK USA; Deutsche Investment Management Americas, Inc. et al.
Links:
Individual Penalty Records:
Click on the company or penalty amount for more information on each case.
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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 A.G. | economic sanction violation | 2003 | OFAC | $5,500 |
| 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 | 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 Trust Company Americas | investor protection violation | 2007 | SEC | $750,000 |
| Deutsche Bank AG | tax violations | 2010 | USAO | $553,633,153 |
| 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 |
| 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 | banking 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 Securities | investor protection violation | 2016 | SEC | $9,500,000 |
| Deutsche Bank | investor protection violation | 2016 | SEC | $18,500,000 |
| 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 Securities Inc. | interest rate benchmark manipulation | 2018 | CFTC | $70,000,000 |
| Deutsche Bank AG and Deutsche Bank Securities Inc. | securities issuance or trading 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. | securities issuance or trading violation | 2018 | SEC | $73,200,000 |
| 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 |
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