Violation Tracker Individual Record
Company:Deutsche Bank Securities, Inc.
Date:June 3, 2009
Primary Offense:investor protection violation
failure to disclose the risks of auction-rate securities
Level of Government:state
Action Type:agency action
Agency:New Jersey Attorney General
Civil or Criminal Case:civil
Facility State:New Jersey
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:
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