Defendant Name:
James H. Im
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. James H. Im
First Document Date
15-May-2017
Initial Filing Format
Civil Proceeding
Case Number
17-cv-03613
Allegation Type
Broker Dealer
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Managing Director at Nomura Securities International, Inc. (August 2009—December 2014)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
James H. Im is alleged to have aided and abetted Nomura Securities International, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
James H. Im is alleged to have aided and abetted Nomura Securities International, Inc.'s violation of Sec 17(a) (Not specified) of the Securities Act.
Resolutions
First Resolution Date
