SEC Settles With Ex-Nomura RMBS Trading Head

By Dean Seal · September 10, 2018, 6:11 PM EDT

The U.S. Securities and Exchange Commission on Friday told a New York federal judge it had reached a settlement with a former managing director of Nomura Securities International Inc., resolving allegations...

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Documents

Judgment

Case Information

Case Title

Securities and Exchange Commission v. Shapiro

Case Number

Court

New York Southern

Nature of Suit

Securities/Commodities

Date Filed

September 08, 2015

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