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 way it keeps and produces trade data.
‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn