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Deutsche Bank Securities, Inc.

Deutsche Bank Securities, Inc. (CRD #2525, New York, New York) receiveda censure and fine of $10,000. According to the findings, the firm submitted to NASD inaccurate short interest position reports. The findings further stated that the firm's supervisory system failed to provide for supervision reasonably designed to achieve compliance with applicable securities laws, regulations, and NASD rules concerning short interest reporting. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040065)

Did Deutsche Bank Securities, Inc. manage your investments?

 

 

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