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December 22, 2014

Posted  December 22, 2014

The CFTC ordered Deutsche Bank Securities Inc. to pay a $3 million penalty on charges of failing to properly invest customer segregated funds, failing to prepare and file accurate financial reports, failing to maintain required books and records, and for related supervisory failures. CFTC

Tagged in: Financial Institution Fraud, Fraud in CFTC-Regulated Markets, Regulatory Violations,