# CFTC Orders Deutsche Bank Securities Inc. to Pay $3 Million to Settle Charges of Improper Investment of Customer Segregated Funds, Reporting and Recordkeeping Violations, and Supervision Failures

> CFTC release 7089-14 · 2014-12-23 · **Settlement** · ENFORCEMENT

## Key facts

- **Release number:** 7089-14
- **Release date:** 2014-12-23
- **Type:** Settlement
- **Title:** CFTC Orders Deutsche Bank Securities Inc. to Pay $3 Million to Settle Charges of Improper Investment of Customer Segregated Funds, Reporting and Recordkeeping Violations, and Supervision Failures
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/7089-14

## What this is

CFTC enforcement actions cover derivatives + commodities + crypto fraud cases. The Commission charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension.


## Citation

> US Commodity Futures Trading Commission, press release 7089-14, "CFTC Orders Deutsche Bank Securities Inc. to Pay $3 Million to Settle Charges of Improper Investment of Customer Segregated Funds, Reporting and Recordkeeping Violations, and Supervision Failures", 2014-12-23. Retrieved via AI Analytics 2026-06-26 from https://api.ai-analytics.org/cftc-action/7089-14.

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