Defendant Name: Nomura Securities International, Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: Nomura Holdings, Inc.
SIC Code: 6221
CUSIP: 65535H20

Initial Case Details

Legal Case Name In the Matter of Nomura Securities International, Inc.
First Document Date 15-Jul-2019
Initial Filing Format Administrative Action
File Number 3-19249
Allegation Type Broker Dealer

Violations Alleged

Other
• Section 15(b)(4)(E) Exchange Act

Resolutions

First Resolution Date 15-Jul-2019
Headline Total Penalty and Disgorgement $6,151,145

Related Documents:

34-86373 15-Jul-2019 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
The SEC stated: "These proceedings arise out of Nomura's failure reasonably to supervise two traders so as to prevent and detect their violations of antifraud provisions of the federal securities laws in connection with Nomura's secondary market purchases and sales of non-agency commercial mortgage backed securities ("CMBS") from approximately February 2010 through April 2014 ("relevant period")."
2019-131_3-19249 15-Jul-2019 Press Release--Administrative Proceeding
Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges
The Commission stated: "The Securities and Exchange Commission today instituted two related enforcement actions against Nomura Securities International Inc., which has agreed to repay approximately $25 million to customers for its failure to adequately supervise traders in mortgage-backed securities."

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