Tag: USAO

The Commission’s focus on retail investors has translated into brining increasing numbers of actions against investment advisers. A number of those actions center on fraudulent schemes which were little more than simple theft. Those, and other similar actions typically result

Tagged with: ,

The Commission settled two failure to supervise cases with Nomura Securities International, Inc. In the Matter of Nomura Securities International, Inc., Adm. Proc. File No. 3-19248 (July 15, 2019); In the Matter of Nomura Securities International, Inc., Adm. Proc. File

Tagged with: , ,
Top