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US Regulator Fines Deutsche Bank AG's Unit For Inflating Trade Data-Reuters


Wednesday, 19 Dec 2012 04:45pm EST 

Reuters reported that A U.S. regulator fined Deutsche Bank AG's broker-dealer Deutsche Bank Securities $1.25 million and censured it for overstating the trades it made for clients in order to attract more business. Deutsche Bank Securities exaggerated its trading volume by 4%, or more than four billion shares, between mid-October 2010 and mid-June 2012, the Financial Industry Regulatory Authority said in a consent order filing dated December 14, 2012. FINRA, an industry-funded regulator, found 98 incidents in which Deutsche Bank’s traders overstated their volume – by 9,900%, in the case of one unnamed security, in the four years ended in June 2012. 

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16 Sep 2014