Violation Tracker Individual Record
Company:Deutsche Bank Securities Inc.
Date:March 13, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
DBSI agreed to pay a $17.5 million administrative penalty in settlement of allegations it failed to disclose conflicts of interests or supervise its employees while working with and investing in a hybrid CDO named Carina CDO, Ltd.
Level of Government:state
Action Type:agency action
Agency:Massachusetts Securities Division
Civil or Criminal Case:civil
HQ Country of Parent:Germany
Ownership Structure of Parent:publicly traded
Major Industry of Parent:banking & securities
Specific Industry of Parent:financial services
Source of Data:
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