Monthly Archives: March 2022

FINRA Best Execution Fine on Deutsche Bank Securities

Posted by admin & filed under Broker-Dealers.

On March 8, 2022, the Financial Industry Regulatory Authority (“FINRA”) issued a press release announcing its $2 million fine on Deutsche Bank Securities, Inc. (“DBS”). It said that DBS had operated an alternative trading system for about five years known as SuperX. During this time, DBS routed customer orders first to SuperX before routing them… Read more »