Case File
efta-01386104DOJ Data Set 10OtherEFTA01386104
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01386104
Pages
1
Persons
0
Integrity
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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-0087651
SDNY_GM_00233835
EFTA01386104
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