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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
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

Related Documents:

comp-pr2017-102-im 15-May-2017 Complaint
Complaint and Jury Demand
court_doc144_17-cv-03613 09-May-2022 Court Docket Document
Judgment

Related Actions:

In the Matter of Nomura Securities International, Inc.
SEC v. Kee Chan
In the Matter of Kee Chan