Tag Archives: Deutsche Bank Securities Inc.

Investors Sue Deutsche Bank For Churning

Jorge Luis Alfonso of Palm Beach Gardens Florida a stockbroker formerly registered with Deutsche Bank Securities Inc. is referenced in a customer initiated investment related arbitration claim where the customer requested more than $5,000.00 in damages founded on allegations that (1) the customer had been placed into speculative and inappropriate stocks given the customer’s objectives […]

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Deutsche Bank Broker Accused By Investor Of Forgery

February 05, 2019  |   Posted by :   |   Forgery, Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Paul P. Ruane of New York New York a stockbroker formerly employed by Deutsche Bank Securities Inc. is referenced in a customer initiated investment related written complaint on June 19, 2015 where the customer sought damages estimated to exceed $5,000.00 supported by accusations that Ruane executed transactions in a customer’s account with knowledge that the […]

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FINRA Bars Deutsche Bank Stockbroker For Obstruction

October 04, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Jacob Daniel Bourne of New York New York a stockbroker formerly registered with Deutsche Bank Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he hindered a FINRA investigation into Bourne’s alleged mismarking of customer’s order tickets. Letter of Acceptance […]

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Deutsche Bank Broker Banged For Bad Supervision

June 21, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Benjamin Solomon of New York New York a stockbroker and supervisor formerly registered with Deutsche Bank Securities Inc. has been fined $165,000.00 and suspended by Securities and Exchange Commission (SEC) for twelve months from associating with any broker dealer or investment adviser according to an Order Instituting Administrative Proceedings pursuant to Section 15(b) of the […]

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Deutsche Bank Sreetharan Barred In Investigation

June 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Sanjeev Sreetharan of New York New York a stockbroker formerly employed by Deutsche Bank Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA’s investigation into accusations of Sreetharan’s misconduct including the falsification of securities valuations […]

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Deutsche Bank Fires Stockbroker Over Suitability Policy

April 05, 2018  |   Posted by :   |   Bond Fraud, Investment and Regulatory News   |   0 Comments

Kurt Wesley Haney of Dallas Texas is a stockbroker formerly registered with Deutsche Bank Securities Inc. who has been terminated on April 21, 2016 based upon allegations that he failed to conform to the firm’s policies concerning the suitability of investments for the firm’s customers. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on […]

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Customer Sues Deutsche Bank For Misrepresentation

March 22, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Kevin Michael McCluskey of Palm Beach Florida is a stockbroker formerly registered with Deutsche Bank Securities Inc. who is the subject of a customer initiated investment related arbitration claim which settled for $25,000.00 in damages founded on allegations that misrepresentations had been made to the customer concerning a certificate of deposit sale and fixed annuity […]

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Deutsche Bank Broker Fined For Unauthorized Trading

January 26, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Gregory Edward Barr, of Boca Raton, Florida, a stockbroker formerly employed with Deutsche Bank Securities Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on consenting to findings that he effected unauthorized transactions in customer accounts. Letter of Acceptance, Waiver and Consent, No. […]

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