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
: July 27, 2017
: financial offenses
: investor protection violation
: financial institution supervision failures
: Four firms were censured and fined for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access Rule) and related exchange supervisory rules. The actions were taken by the Financial Industry Regulatory Authority (FINRA), along with Bats, a CBOE Holdings company; The NASDAQ Stock Market LLC; the New York Stock Exchange; and their affiliated Exchanges.
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