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  • Deutsche Bank Securities Fined

    March 7, 2013 Comments (0) Blog, Securities Fraud

    Deutsche Bank Securities Inc. (CRD #2525, New York, New York) recentlysubmitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $175,000, and required to pay $10,314.44, plus interest, in restitution to customers. Without admitting or denying the findings, the firm consented to the

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  • Emmet & Co., Inc. fined by FINRA

    June 3, 2011 Comments (0) Blog, Securities Fraud

    Emmet & Co., Inc. (CRD #15993, Far Hills, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $17,500. Without admitting  or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to report

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  • Rafferty Capital Markets, LLC fined by FINRA

    May 16, 2011 Comments (0) Blog, Securities Fraud

    Rafferty Capital Markets, LLC (CRD #23682, Garden City, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $87,500 and required to revise its written supervisory procedures regarding TRACE and municipal securities reporting, and books and records compliance.

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