Violation Tracker Individual Record
Company:Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.
Date:July 20, 2018
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
Two U.S.-based subsidiaries of Deutsche Bank AG agreed to pay nearly $75 million to settle charges of improper handling of pre-released American Depositary Receipts (ADRs).
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.