Company Overview of Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc. is an investment bank that provides security brokerage services. Deutsche Bank Securities Inc. was formerly known as Deutsche Banc Alex. Brown Inc. The company was founded in 1973 and is based in New York, New York. Deutsche Bank Securities Inc. operates as a subsidiary of DB U.S. Financial Markets Holding Corporation.
60 Wall Street
New York, NY 10005
Founded in 1973
Key Executives for Deutsche Bank Securities Inc.
Global Head of Mergers and Aquisitions
Compensation as of Fiscal Year 2015.
Deutsche Bank Securities Inc. Key Developments
FINRA Fines Deutsche Bank Securities Inc. of $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules
Nov 19 15
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities Inc. $1.4 million for violating Regulation SHO, FINRA short interest reporting rule and for related supervisory failures. Reg SHO generally allows firms to track their positions in a security from certain trading operations or trading desks separately from other positions maintained at the firm through the use of an 'aggregation unit'. Reg SHO requires, among other things, that in determining the net positions of aggregation units, firms cannot include the securities positions of a non-U.S.-broker-dealer affiliate. FINRA found that for over 10 years, Deutsche Bank has been improperly including securities positions of a non-U.S.-broker-dealer affiliate in numerous aggregation units when determining each unit's net position. In addition, FINRA requires firms, with certain exceptions, to regularly report their total "short" positions in all customer and proprietary firm accounts in equity securities. These short positions must be reported on a gross, rather than a net basis. FINRA found that from April 2004 to September 2012, Deutsche Bank reported the netted positions in its financial aggregation account as the firm's short interest positions for that particular day. FINRA also found that Deutsche Bank's supervisory system with respect to its aggregation unit structure and short interest reporting was not reasonably designed to detect and prevent such rule violations during the relevant time periods. In concluding this settlement, Deutsche Bank neither admitted nor denied the charges, but consented to the entry of FINRA's findings.
Deutsche Bank Securities Inc. Presents at Financial Services M&A Forum, Nov-04-2015 09:00 AM
Nov 1 15
Deutsche Bank Securities Inc. Presents at Financial Services M&A Forum, Nov-04-2015 09:00 AM. Venue: The Metropolitan Club, New York, United States. Speakers: Venkat Badinehal, Managing Director, Head of Financial Institutions Group – Americas.
Deutsche Bank Securities Inc. Presents at The Investors' Conference on Marketplace Lending, Oct-29-2015 02:50 PM
Oct 26 15
Deutsche Bank Securities Inc. Presents at The Investors' Conference on Marketplace Lending, Oct-29-2015 02:50 PM. Venue: Marriott New York Downtown, 85 West Street, New York, NY 10006, United States. Speakers: John Malone, Director.
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