Violation Tracker Individual Record
Company:Deutsche Bank Securities Inc.
Date:January 14, 2010
Offense Group:financial offenses
Primary Offense:investor protection violation
Deutsche Bank Securities, Inc. agreed to buy back $7.8 million in auction rate securities (ARS) from North Carolina investors.
Level of Government:state
Action Type:agency action
Agency:North Carolina Division of Securities
Civil or Criminal Case:civil
Facility State:North Carolina
HQ Country of Parent:Germany
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
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