Case File
efta-01374032DOJ Data Set 10OtherEFTA01374032
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01374032
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
AGP LP 519 Alpha Group Capital Paul Barrett
EXECUTION
SCHEDULE A
Research-Related Settlement: On August 26, 2004, in connection with the 2002 industry-wide
governmental and regulatory investigations into research and analysts practices, Deutsche Bank
Securities Inc. ("DBSI") reached a settlement agreement with the Securities and Exchange
Commission, the National Association of Securities Dealers, the New York Stock Exchange and
the New York Attorney General, and with other state regulators arising from an investigation of
research analyst independence. Under the terms of the settlement, DBSI agreed to pay $87.5
million.
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0068536
SDNY_GM_002 14720
EFTA01374032
Forum Discussions
This document was digitized, indexed, and cross-referenced with 1,400+ persons in the Epstein files. 100% free, ad-free, and independent.
Annotations powered by Hypothesis. Select any text on this page to annotate or highlight it.