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AlanC

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AlanC

Re: AlanC post# 19490

Wednesday, 10/12/2016 12:27:37 PM

Wednesday, October 12, 2016 12:27:37 PM

Post# of 20257
Deutsche Bank Securities has agreed to pay a $9.5 million penalty

Washington D.C., Oct. 12, 2016 —

The Securities and Exchange Commission today announced that Deutsche Bank Securities has agreed to pay a $9.5 million penalty for failing to properly safeguard material nonpublic information generated by its research analysts. Deutsche Bank also published an improper research report and failed to properly preserve and provide certain electronic records sought by the SEC during its investigation.
https://www.sec.gov/news/pressrelease/2016-213.html
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