ERC721

The Office of the Attorney General through its Bureau of Securities today signed a final Consent Order that requires Deutsche Bank Securities, Inc. to complete or confirm its repurchase of auction-rate securities from New Jersey clients to settle allegations that the firm’s securities dealers failed to disclose risks of the auction-rate securities market. The New Jersey Bureau of Securities (NJBOS) led the North American Securities Administrators Association’s investigation into Deutsche Bank Securities’ auction-rate securities practices. That investigation led to today’s final settlement.

Name

1057

Owner

0xC09931FF4047a45cFC50C8D7826CAa09c9fE48dc

ID#1057

Rarity

MID:33%

Parent Company

Deutsche Bank

EX:4%

Company

Deutsche Bank Securities, Inc.

EX:MAX

Violation

Defrauding Investors

HI:19%

Penalty

$1,057,350.00

EX:MAX

Year

2009