Search for: "Nomura Securities International, Inc."
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26 Mar 2020, 1:33 pm
Nomura Securities International, Inc. [read post]
9 Oct 2018, 5:19 am
Earlier this month, the Securities and Exchange Commission announced that it had reached a settlement with Ross Shapiro, a former managing director of Nomura Securities International, Inc. [read post]
18 Jul 2019, 7:58 am
FINRA-registered brokerage firm, Nomura Securities International, Inc., will pay over $25 million to settle SEC’s allegations that the firm’s supervisory shortcomings permitted traders to defraud customers in transactions involving mortgage-backed securities. [read post]
15 Jul 2019, 7:48 am
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. [read post]
8 Feb 2013, 6:00 am
(NHI) - Nomura Securities Co., Ltd.; International Monetary Fund address Multi-Product Firms and Product Quality. [read post]
2 Apr 2015, 1:14 pm
He currently is registered with Nomura Securities International, Inc., also in New York, New York. [read post]
25 Apr 2015, 6:24 am
Currently, Katke is associated with Nomura Securities International, Inc. and has been since August 2013. [read post]
4 Jun 2018, 6:30 am
Harbinger Asset Management, LLC Bhaskar Chandrakant Vyas Interfirst Capital Corporation Western International Securities, Inc Mark Edward Winburne MML Investors Services, LLC Metlife Securities, Inc. [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
24 Apr 2018, 3:00 pm
Nomura Securities International Inc. v. [read post]
26 Jun 2018, 7:03 am
FHFA (17-1300) and Nomura Securities International, Inc. v. [read post]
21 Nov 2022, 9:02 am
LLC Morgan Stanley Smith Barney LLC Nomura Securities International, Inc. [read post]
28 Nov 2022, 9:02 am
LLC Morgan Stanley Smith Barney LLC Nomura Securities International, Inc. [read post]
28 Sep 2022, 12:37 pm
The following two firms have agreed to pay penalties of $50 million each: Jefferies LLC; and Nomura Securities International, Inc. [read post]
15 Sep 2014, 4:26 am
The question arose again in the D&O insurance coverage litigation related to the various RMBS-related securities lawsuits that were filed against Nomura Holding America, Inc. and certain of its operating subsidiaries. [read post]
29 Feb 2016, 4:43 pm
Nomura Holding Am., Inc., 104 F. [read post]
20 Mar 2020, 8:00 am
Foreign companies like UBS and Nomura Holdings, Inc., a Japanese holding company, already hold a majority stake in their ventures, while other companies are in the process of applying for a 51% stake. [read post]
18 May 2011, 7:29 pm
The estimates are based on analysts at Nomura Securities International Inc. [read post]
29 May 2015, 10:48 am
Johnson, Board Member, Mercatus Center, and Co-Chairman and Senior Partner, Johnson Smick International, Inc. [read post]
10 May 2011, 7:33 pm
The estimates are based on analysts at Nomura Securities International Inc. [read post]
