Defendant Name: Deutsche Bank Trust Company Americas

Defendant Type: Subsidiary of Public Company
Public Company Parent: Deutsche Bank AG
SIC Code: 6029
CUSIP: D1819089

Initial Case Details

Legal Case Name In the Matter of Deutsche Bank Trust Company Americas
First Document Date 25-Apr-2019
Initial Filing Format Administrative Action
File Number 3-19154
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Securities Act
• Sec 17(a)(2)

Resolutions

First Resolution Date 25-Apr-2019
Headline Total Penalty and Disgorgement $500,000

Related Documents:

33-10633 25-Apr-2019 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
The SEC stated: "This matter involves DBTCA's material omissions, in light of other disclosures, in documents that described its process for the review and selection of hedge funds [...] included on its wealth management platform."