‘Enforcement 40’ for 2020
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By Securities Docket on July 5, 2016, 11:13 am
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. As part of the settlement, Deutsche Bank agreed to retain an independent consultant to improve the […]
By Securities Docket on July 5, 2016, 11:09 am
Continuing 2015’s elevated pace, the number of securities class action lawsuit filings during the first half of 2016 accrued in numbers well above both historical averages and recent levels. The first half 2016 levels puts the securities suit filing activity on pace for the most active year for securities class action lawsuit filings since 2004. […]