Securities and Exchange Commission v. Im

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Case Number:

1:17-cv-03613

Court:

New York Southern

Nature of Suit:

Securities/Commodities

Judge:

J. Paul Oetken

Firms

Government Agencies

  1. May 15, 2017

    SEC Charges Ex-Nomura Head Traders Over MBS Lies

    The U.S. Securities and Exchange Commission on Monday charged a pair of former Nomura Securities International Inc. head traders with lying to customers about the prices of commercial mortgage-backed securities they were buying and selling in order to inflate Nomura's profits and line their pockets.