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: 
$17,970,400,778
Number of records: 
51
Top 10 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$9,584,421,8977
investor protection violation$3,664,784,82816
interest rate benchmark manipulation$2,771,600,0007
tax violations$679,659,1533
anti-money-laundering deficiencies$466,000,0002
securities issuance or trading violation$294,000,0003
economic sanction violation$258,030,8005
foreign exchange market manipulation$205,000,0001
benefit plan administrator violation$21,900,0001
Foreign Corrupt Practices Act$16,178,8501
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 [...]

Links: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

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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Company Primary Offense Type Yearsort icon 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 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 securities issuance or trading 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 2009 NJ-AG $1,057,350
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
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 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 economic sanction violation 2015 NY-DFS $200,000,000
Deutsche Bank interest rate benchmark manipulation 2015 NY-DFS $600,000,000
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. 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 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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