Violation Tracker Individual Record
: Deutsche Bank Securities Inc.
Current Parent Company
: Deutsche Bank
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: November 19, 2015
: financial offenses
: investor protection violation
: financial institution supervision failures
: The Financial Industry Regulatory Authority (FINRA) fined Deutsche Bank Securities Inc. $1.4 million for violating Regulation SHO, FINRA's short interest reporting rule and for related supervisory failures.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
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)
: FINRA is a securities industry self-regulatory body authorized by the federal government.
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for an updated link.
Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log