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Violation Tracker Individual Record

Company: Deutsche Bank Securities Inc.
Current Parent Company: Deutsche Bank
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $7,800,000
Year: 2010
Date: January 14, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Deutsche Bank Securities, Inc. agreed to buy back $7.8 million in auction rate securities (ARS) from North Carolina investors.
Level of Government: state
Action Type: agency action
Agency: North Carolina Division of Securities
Civil or Criminal Case: civil
Facility State: North Carolina
HQ Country of Current Parent: Germany
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.