The Securities And Exchange Commission

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Deutsche Bank to repay misled customers

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The Securities and Exchange Commission has instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay more than $3.7 million to customers, which includes $1.48 million that was ordered as disgorgement.

BlackRock to settle charges over staff separation agreements

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The Securities and Exchange Commission has announced that New York-based asset manager BlackRock Inc. has agreed to pay a $340,000 penalty to settle charges that it improperly used separation agreements in which exiting employees were forced to waive their ability to obtain whistleblower awards.

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Deutsche Bank to repay misled customers

The Securities and Exchange Commission has instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay more than $3.7 million to customers, which includes $1.48 million that was ordered as disgorgement.

Sec Building

BlackRock to settle charges over staff separation agreements

The Securities and Exchange Commission has announced that New York-based asset manager BlackRock Inc. has agreed to pay a $340,000 penalty to settle charges that it improperly used separation agreements in which exiting employees were forced to waive their ability to obtain whistleblower awards.