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Raymond James, advisors win $16.4 million arbitration award against Deutsche Bank
Ray Jay and its brokers claimed the German lender failed to pay revenue share and residual trailer fees on commercial loans.
Finra fines Deutsche Bank $2 million for failing to get best prices for customer orders
Best execution has become a regulatory priority for Finra and the SEC in the wake of the January 2021 GameStop trading frenzy.
Florida broker to pay ex-wife $2.6 million in Finra arbitration claim
The broker, Barry Snyder, was 'hooked' on a hamburger chain stock, says the ex-wife's attorney,
Deutsche Bank Securities to pay $4.45 million over mortgage-backed securities
SEC says the firm profited at the expense of customers in trades from 2011 to 2015
