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Deutsche Bank Securities, Inc.

Deutsche Bank Securities, Inc. (CRD #2525, New York, New York) received a censure and fine of $15,000, and required to pay $323.87, plus interest, in restitution to a public customer. According to the findings, the firm, in transactions for or with public customers, failed to use reasonable diligence to ascertain the best interdealer market and failed to buy or sell in such market so that the resultant price to its customer was as favorable as possible under prevailing market conditions. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050032)

Did Deutsche Bank Securities, Inc. manage your investments?

 

 

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