BX Disciplinary Actions

2017

Enforcement No. Title Date
No. 20140418707-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418707-05
Deutsche Bank Securities Inc.
10/11/2017
No. 20140416350-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416350-04
RBC Capital Markets, LLC
9/20/2017
No. 20130393135-06 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130393135-06
Deutsche Bank Securities Inc.
7/27/2017