This document is an alert report from Deutsche Bank Private Bank dated August 17, 2018, regarding NES, LLC. It highlights critical risk alerts for two entities: Nasdaq Execution Services, LLC and National Enterprise Systems Inc. The report details various regulatory actions, disciplinary actions, and legal issues faced by these entities, including SEC violations, insider trading, securities fraud, and business crimes.
documents/vol00010-efta01297822-pdf.pdf
{"title":"Deutsche Bank Private Bank Alert Report","key_people":["Attorney General McGraw","Richard Cordray"],"document_date":"2018-08-17","document_type":"financial","key_locations":["New York, New York, UNITED STATES","Charleston, West Virginia, UNITED STATES","Cleveland, Ohio, UNITED STATES","Solon, Ohio, UNITED STATES"],"document_subtype":"Alert Report","key_organizations":["Deutsche Bank Private Bank","Nasdaq Execution Services, LLC","National Enterprise Systems Inc.","Financial Industry Regulatory Authority (FINRA)","Securities and Exchange Commission (SEC)","New York Stock Exchange"],"reference_numbers":["R2451848","R2234375"]}