Tag: Nomura Securities International Inc

SEC
July 16, 2019 BY Valentina Kirilova

Nomura pays misled bond clients $25m after SEC charges

The Securities and Exchange Commission (SEC) has yesterday informed the public that it has instituted two related enforcement actions against Nomura Securities International Inc. The Japanese financial holding company has agreed to repay approximately $25 million to customers for its failure to adequately supervise traders in mortgage-backed securities. Nomura bond traders made false and misleading…

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UN report says North Korea laundered $2 billion theft via Hong Kong firm
May 16, 2017 BY Valentina Kirilova

Former head traders at Nomura Securities charged with fraud

The Securities and Exchange Commission (SEC) charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc. (ADR) (NYSE:NMR) with deliberately lying to customers in order to inflate the profits of the CMBS desk and line their own pockets as a result. Just last month SEC…

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