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About Us
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SEC Whistleblower Program
Program Fundamentals SEC Tips Process Facts & Figures Awards Granted Awards Denied Common Securities Violations International Whistleblowers SEC Whistleblower Resources Eligibility Calculator
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Resources
Securities Law Primer Eligibility Calculator SEC Insiders Guide SEC Whistleblower Handbook Sanctions Database FAQ

July 15, 2019

Nomura Securities International Inc.

Trading and Pricing

SANCTION AMOUNT: Approximately $25,000,000

Defendants: Nomura Securities International Inc.

Settled charges of failure to supervise traders of commercial and residential mortgage-backed securities.

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