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Deutsche Bank Securities, Inc.

Deutsche Bank Securities, Inc. (CRD #2525, New York, New York) received a censure and fine of $10,000. According to the findings, the firm incorrectly reported to the Automated Confirmation Transaction ServiceSM (ACTSM) “at-risk” principal transactions in NASDAQ National Market® (NNM®) securities as non-media with a “riskless principal” capacity. The regulators also found that the firm failed to submit, for the offsetting, a “riskless” portion of “riskless” principal transactions in NNM securities, either a clearing-only report with a capacity indicator of “riskless principal,” or a nontape, non-clearing report with a capacity indicator of “riskless principal.” The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040137)

Did Deutsche Bank Securities, Inc. manage your investments?



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