DBSI reached a settlement agreement with various regulatory bodies in connection with investigations into research analyst independence and auction rate securities. The settlements involved financial penalties and obligations to buy back securities.
documents/vol00010-efta01354054-pdf.pdf
{"document_date":"2004-08-26","document_type":"legal","document_subtype":"regulatory settlement","key_organizations":["DBSI","SEC","National Association of Securities Dealers","New York Stock Exchange","New York Attorney General","New Jersey Department of Securities"],"reference_numbers":["DB-SDNY-0038647","SDNY_GM_00184831","EFTA01354054"]}