📄 Extracted Text (102 words)
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) DB-SDNY-0087651
CONFIDENTIAL SDNY_GM_00233835
EFTA01386104
ℹ️ Document Details
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EFTA01386104
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