The Banksters
0x3…6f4
ERC721
The Securities and Exchange Commission, the New York Stock Exchange and NASD today announced joint actions against five broker-dealers for violations of record-keeping requirements concerning e-mail communications. The firms consented to the imposition of fines totaling $8.25 million, along with a requirement to review their procedures to ensure compliance with record-keeping statutes and rules.
Name
637
Owner
0x576a655161B5502dCf40602BE1f3519A89b71658
ID#637
Rarity
X-LO:79%
Parent Company
Deutsche Bank
EX:4%
Company
Deutsche Bank Securities Inc.
EX:1%
Violation
Recordkeeping Violations
EX:1%
Penalty
$1,650,000.00
EX:1%
Year
2002