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Recent Posts in Deutsche Bank Securities Category

SEC Fines Deutsche Bank Securities $4.45 Million for Misleading Mortgage-Backed Securities Sales

Deutsche Bank Securities agreed to pay $4.45 million, including nearly $1.5 in disgorgement, to settle SEC charges that the firm's compliance and supervisory failures caused customers to overpay ...
Continue reading "SEC Fines Deutsche Bank Securities $4.45 Million for Misleading Mortgage-Backed Securities Sales" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco

Touted by investment firms such as Wells Fargo and Morgan Stanley to their clients, Seadrill Limited (ticker symbol SDRL) reached its lowest price in 2017 after warning shareholders and bond owners of ...
Continue reading "Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco" »

Deutsche Bank Securities Fined $6.5 Million for Serious Deficiencies in Lending Program

FINRA fined Deutsche Bank Securities, Inc. $6.5 million for what it deems are "serious financial and operation deficiencies" first identified in 2009 and associated with Deutsche's ...
Continue reading "Deutsche Bank Securities Fined $6.5 Million for Serious Deficiencies in Lending Program" »
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