Violation Tracker Individual Record
Company:
Deutsche Bank Securities Inc.
Current Parent Company:
Deutsche Bank
Penalty:
$4,450,000
Year:
2018
Date:
February 12, 2018
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:
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.
