SEC
Whistleblower
Advocates

December 16, 2016

Deutsche Bank Securities Inc.

Trading and Pricing

SANCTION AMOUNT: $18,500,000

Defendants: Deutsche Bank Securities Inc.

Respondent failed to route customer orders to dark pools in accordance with representations. Respondent claimed to be using ongoing data analysis to rank the dark pools best suited for customer orders when in reality its system failed to actually do this analysis.

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