UPDATE 4/11/2020: According to FINRA’s February 2020 Disciplinary Actions: “Nomura Securities International, Inc. (CRD #4297, New York, New York) December 6, 2019 – An AWC was issued in which the firm was censured and fined $300,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to comply with FINRA’s short interest reporting requirements concerning the reporting of certain foreign-listed securities. The findings stated that the firm experienced a system-related coding issue that resulted in the exclusion of certain foreign-listed securities from its short interest submissions to FINRA. In addition, the firm inaccurately reported short interest positions. Upon receiving notification from FINRA of the reporting deficiencies, the firm identified and corrected the coding issue. The findings also stated that the firm failed to establish and maintain a supervisory system to ensure that it was in fact including all reportable positions in its FINRA Rule 4560 submissions, including reportable positions it held in foreign-listed securities. The firm has updated its supervisory system, including its WSPs, and addressed the supervisory deficiencies. (FINRA Case #2015044806901)”
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Nomura Securities International. If you suffered losses investing with Nomura Securities International, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Nomura Securities International (CRD# 4297) (SEC# 801-72991, 8-15255)
As of April 4, 2020, Nomura Securities International’s FINRA BrokerCheck Report contains the following:
68 Regulatory Event Disclosures
Main Office Location
WORLDWIDE PLAZA, 309 WEST 49TH STREET
NEW YORK, NY 10019
USA
Mailing Address
WORLDWIDE PLAZA, 309 WEST 49TH STREET
NEW YORK, NY 10019
USA
Business Telephone Number
212-667-9000
Direct Owners and Executive Officers
NOMURA HOLDING AMERICA, INC., SHAREHOLDER
ALOUPIS, STEVEN NICHOLAS (CRD#:2498339), CHIEF OPERATING OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR
CHIULLI, EUGENE JAMES (CRD#:2976702), CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR
DENAUT, JAMES ANTHONY (CRD#:1163975), CHIEF EXECUTIVE OFFICER, PRESIDENT, BOARD OF DIRECTORS & SENIOR MANAGING DIRECTOR
HUGHES, WILLIAM FRANCIS JR (CRD#:1666328), CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR
LEIBOWITZ, DAVID ALAN (CRD#:2597936), BOARD OF DIRECTORS
TAKEMURA, TSUTOMU (CRD#:2918165), CHAIRMAN
UNGER, LAURA SIMONE (CRD#:6452517), BOARD OF DIRECTORS
WEBB, FARON ROSS (CRD#:2452057), CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Nomura Securities International and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
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