UPDATE 1-Deutsche Bank, trader settle U.S. SEC charges over bond prices [Reuters]
Nomura Holdings Inc ADR American Depositary Shares (NMR)
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nomuraholdings.com/investor
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Source: Reuters
UPDATE 1-Deutsche Bank, trader settle U.S. SEC charges over bond prices | Reuters Reuters Staff 3 Min Read (Adds Deutsche Bank comment, details from settlement order, background, byline) By Jonathan Stempel Feb 12 (Reuters) - Deutsche Bank AG will pay nearly $4.5 million to settle U.S. Securities and Exchange Commission civil charges that it failed to police traders and salespeople who lied to customers about bond prices, the regulator said on Monday. The bank will repay more than $3.7 million to customers and pay a $750,000 fine in connection with the probe into commercial mortgage-backed securities (CMBS) prices from 2011 to 2015. Benjamin Solomon, 42, of Brooklyn, New York, who was global head of securitized products prior to being terminated in August 2015, will pay a $165,000 fine and accepted a 12-month suspension from the securities industry, the SEC said. Neither the bank nor Solomon admitted or denied wrongdoing. The fines reflected their substantial cooperation in the probe.
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NMR
Sec Filings
- 4/19/24 - Form 6-K
- 4/12/24 - Form 6-K
- 4/12/24 - Form 6-K
- NMR's page on the SEC website