2014043121001 Deutsche Bank Securities Inc. CRD 2525 AWC sl (2021-1633911609277).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2014043121001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Deutsche Bank Securities Inc., Respondent
Member Firm
CRD No. 2525
Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below. This AWC is submitted on the condition that