NOMURA SECURITIES INTERNATIONAL, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 4297). This firm reports disciplinary history on Form ADV.
Compensation: Other.
Clients served: Corporations, Other.
Showing 25 of 50 people.
| Name | Role | Location |
|---|---|---|
| Faron Ross Webb | CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR | — |
| Eugene James Chiulli | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR | — |
| William Francis Jr Hughes | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR | — |
| Laura Simone Unger | BOARD OF DIRECTORS | — |
| Steven Nicholas Aloupis | CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR | — |
| James Christopher Giancarlo | BOARD OF DIRECTORS | — |
| Satoshi Kawamura | EXECUTIVE CHAIRMAN OF BOARD | — |
| Gregory James Dumark | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | — |
| Vincent Anthony Primiano | CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR | — |
| FARRELL PATRICK JOSEPH | CHIEF FINANCIAL OFFICER | — |
| MATTONE RALPH MICHAEL | CHIEF FINANCIAL OFFICER | — |
| SCHMUCKLER JOSEPH REDMOND | CO-CEO, CO-PRESIDENT, BOARD MEMBER; PRESIDENT & CHIEF OPERATING OFFICER; PRESIDENT & COO | — |
| TAKAHASHI HIDEYUKI | CEO; CEO & CHAIRMAN; CO-PRESIDENT, CO-CEO | — |
| FINDLAY DAVID MAIR | CHAIRMAN; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHIEF LEGAL OFFICER (+3 more) | — |
| HUGHES WILLIAM FRIERSON JR | CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR | — |
| BELLO CHRISTOPHER ROBERT | SROP | — |
| CONNORS KATHY ANN | CCO | — |
| YOSHIKAWA ATSUSHI | CHAIRMAN, BOARD MEMBER; CHIEF EXECUTIVE OFFICER | — |
| MOSER MATTHEW SCOTT | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | — |
| LEIBOWITZ DAVID ALAN | BOARD OF DIRECTORS; CCO; MEMBER BOARD OF DIRECTORS | — |
| OKELLY CIARAN THOMAS | MANAGING DIRECTOR - HEAD OF EQUITIES | — |
| AINSBERG ARTHUR SANFORD | MEMBER BOARD OF DIRECTORS | — |
| MANDL GEORGE ILBERT | CROP | — |
| SWEENEY MARYELLEN THERESA | MANAGING DIRECTOR | — |
| ALFONSO RALPH | CHIEF OPERATIONS OFFICER; COO | — |
Showing 10 of 100 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-27 | regulatory | APPLICANT VIOLATED CBOT RULES 538.C., 534 AND 432.W | Final | $80K |
| 2023-01-13 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY CALCULATE ITS NET CAPITAL. THE FINDINGS STATED THAT THE FIRM MISCLASSIFIED CERTAIN REVERSE REPURCHASE AGREEMENTS WITH ITS CORPORATE AFFILIATE AS ALLOWABLE ASSETS.… | Final | $125K |
| 2022-09-27 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") HAS REASON TO BELIEVE THAT FROM AT LEAST 2015 TO THE PRESENT ("RELEVANT PERIOD"), NOMURA GLOBAL FINANCIAL PRODUCTS INC., NOMURA SECURITIES INTERNATIONAL, INC., AND NOMURA INTERNATIONAL PLC (COLLECTIVELY, "NOMURA" OR "RESPONDENTS") VIOLATED, AS… | Final | $50.0M |
| 2022-09-27 | regulatory | NSI EMPLOYEES SENT AND RECEIVED OFF-CHANNEL COMMUNICATIONS THAT RELATED TO THE BUSINESS OF BROKER-DEALER OPERATED BY NSI. RESPONDENT DID NOT MAINTAIN OR PRESERVE THE SUBSTANTIAL MAJORITY OF THESE COMMUNICATIONS. NSI'S FAILURE WAS FIRM-WIDE AND INVOLVED EMPLOYEES AT ALL LEVELS OF AUTHORITY. AS A RESU… | Final | $50.0M |
| 2021-06-11 | regulatory | WITHOUT EITHER ADMITTING NOR DENYING VIOLATING EXCHANGE RULES, FOUND THE FIRM GUILTY OF VIOLATING CBOT RULE 980.B.3., AND FINED THE FIRM $50,000. | Final | $50K |
| 2021-03-20 | regulatory | WITHOUT EITHER ADMITTING NOR DENYING VIOLATING EXCHANGE RULES, FOUND THE FIRM GUILTY OF VIOLATING CBOT RULES 538.C (RELATED POSITION) AND 543 (WASH TRADES PROHIBITED) | Final | $50K |
| 2020-06-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSION TIMES, OR FAILED TO INCLUDE ANY TRANSMISSION TIME, ON MANUAL OPTIONS ORDERS IT HAD ROUTED TO NYSE AMERICAN AND VARI… | Final | $33K |
| 2020-06-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSION TIMES, OR FAILED TO INCLUDE ANY TRANSMISSION TIME, ON MANUAL OPTIONS ORDERS IT HAD ROUTED TO PHLX AND VARIOUS OTHER… | Final | $33K |
| 2019-12-06 | regulatory | 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 SYSTE… | Final | $300K |
| 2019-08-28 | regulatory | AN INCIDENT OCCURRED WHEREBY INFORMATION RELATED TO THE LISTING AND DELISTING CRITERIA FOR THE UPPER MARKET UNDER REVIEW BY THE TOKYO STOCK EXCHANGE WAS COMMUNICATED IMPROPERLY. | Final | $94K |