Violation Tracker Individual Record
Company:
Deutsche Bank Securities Inc.
Current Parent Company:
Deutsche Bank
Penalty:
$2,971,462
Year:
2019
Date:
March 11, 2019
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Level of Government:
federal
Action Type:
agency action
Agency:
Securities and Exchange Commission
Civil or Criminal Case:
civil
HQ Country of Parent:
Germany
Ownership Structure of Parent:
publicly traded
Major Industry of Parent:
financial services
Specific Industry of Parent:
banking & securities
Source of Data:
https://www.sec.gov/litigation/admin/2019/ia-5197.pdf
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
