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Entries in Deutsche Securities Inc. (5)

Monday
Jan092017

Deutsche Bank anti-financial crime chief quits after six months on the job

The head of Deutsche Bank AG’s financial-crime-fighting unit and chief AML reporting officer is leaving his job after just six months.

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Tuesday
Dec202016

FINRA fines Deutsche Bank Securities $3.25 million for deficient disclosures

Wall Street's independent regulator fined Deutsche Bank Securities Inc. $3.25 million Friday for failing to provide the same information to all users of its off-exchange trading system.

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Tuesday
Jul052016

FINRA fines Deutsche Bank $6 million for missing and late trade info

Deutsche Bank Securities Inc. paid a $6 million fine for failing to provide complete and accurate trade data to FINRA and the SEC. It was the biggest fine the Wall Street regulator has imposed for so-called blue sheet violations.

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Friday
Jul182014

Judge suspends prison sentence for Deutsche Bank salesman in Japan bribe case

A former Deutsche Bank salesman who described systematic bribery in the sale of bank services to pension funds was given a suspended prison sentence Wednesday by a Tokyo judge.

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Wednesday
Apr232014

Deutsche Bank salesman in Japan describes 'systematic' bribery

Shigeru Echigo, a former salesman at Deutsche Bank in Tokyo, has admitted to bribery charges, but he says he was only following orders from his superiors.

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