2014041813501 Deutsche Bank Securities Inc. CRD 2525 AWC sl (2022-1649377217179).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2014041813501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Deutsche Bank Securities Inc. (Respondent)
Member Firm
CRD No. 2525
Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2018059545604 Fusion Analytics Securities, LLC CRD 124245 Complaint jlg (2022-1649377218771).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
Fusion Analytics Securities, LLC
CRD No. 124245,
Respondent.
Disciplinary Proceeding
No. 2018059545604
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. From January 2017 to at least August 2019, Respondent Fusion Analytics
Securities, LLC, acting through MC, its indirect owner and Managing Partner, and EW, one of COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. From January 2017 to at least
SR-FINRA-2022-004
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from March 31, 2022, to July 31, 2022.
Regulatory Notice 22-08
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks. Like complex products, trading in options may pose risks if investors do not have the financial experience to understand options and options trading strategies.