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
3-19248
Allegation Type
Broker Dealer
Violations Alleged
•
Section 15(b)(4)(E) Exchange Act
Resolutions
First Resolution Date
15-Jul-2019
Headline Total Penalty and Disgorgement
$41,826,287