SEC
Whistleblower
Attorneys

July 23, 2018

Mizuho Securities USA LLC

Trading and Pricing

SANCTION AMOUNT: $1250000

Defendants: Mizuho Securities USA LLC

The Commission found that Respondent failed to maintain and enforce policies/procedures aimed at preventing the misuse of material nonpublic information pertaining to stock buybacks by its issuer customers. It agreed to settle the charges including paying the listed sanction as a penalty.

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