Deutsche Bank Securities

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  SEC, FINRA Enforcement Roundup: Husband and Wife Divert Funds to Buy Home

  By Marlene Y. Satter, AdvisorOne  |  May 16, 2013

  The SEC filed charges against a husband and wife, who are executives of China-based RINO International Corp., and FINRA fined and censured Deutsche Bank Securities for reporting failures.

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  SEC, FINRA Enforcement Roundup: 31 NFL Players Bilked by Broker’s Casino Deal

  By Marlene Y. Satter, AdvisorOne  |  March 7, 2013

  FINRA and the SEC recently acted on issues that included the fleecing of 31 NFL players via high-risk casino securities and a rep who conducted a Ponzi scheme under his firm’s nose.

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  SEC, FINRA Enforcement Roundup: Cantor Fitzgerald Hit by FINRA

  By Marlene Y. Satter, AdvisorOne  |  October 25, 2012

  Among recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.

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  AIG Stock Sale Could Trigger Federal Regulation

  By Arthur D. Postal PropertyCasualty360.com  |  September 11, 2012

  American International Group is on the verge of becoming the first insurance holding company ever regulated by the federal government.

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  New Hire Roundup: Kapoor Rises at Morningstar; Chilton Trust Gains Approval

  By Marlene Y. Satter, AdvisorOne  |  May 17, 2012

  This week in new hires, Morningstar promoted Kunal Kapoor; Chilton Trust was approved by the Florida Office of Financial Regulation; and Duff & Phelps announced a new independent broker-dealer due diligence practice.

• Upgrades

  By Staff Writer  |  September 1, 2009

  Fidelity Investments has followed up the announcement of its partnership with Kohlberg Kravis Roberts under which Fidelity's retail and institutional brokerage have access to IPOs...

• What You Need to Know About Your E-mail

  By Staff Writer  |  June 1, 2003

  If securities regulators were to start enforcing e-mail retention rules today, independent advisors would in be big trouble. Based on my recent conversations with advisors...

• Deutsche To Add Risk Maps to db RiskOffice

  By Staff Writer  |  September 5, 2002

  NEW YORK (HedgeWorld.com)--Deutsche Bank's prime brokerage group plans to add another graphic representation of risk to its db RiskOffice software. Called Risk Maps, the new software...