SEC
Whistleblower
Attorneys

July 20, 2018

Deutsche Bank Securities Inc.

Trading and Pricing

SANCTION AMOUNT: 1648265.92

Defendants: Deutsche Bank Securities Inc.

Respondent, a registered broker-dealer, agreed to settle the Commission's findings that it engaged in misconduct allowing pre-released ADRs to be used for abusive practices, including inappropriate short selling and inappropriate profiting around dividend payouts.

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