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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Nomura
Ownership Structure: publicly traded (ticker symbol NMR)
Headquartered in: Japan
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$193,983,333
Number of records: 7
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$129,400,0004
competition-related offenses$64,583,3333
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$126,400,0003
price-fixing or anti-competitive practices$29,583,3332
toxic securities abuses$3,000,0001
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense Type sort iconYearAgencyPenalty Amount
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.toxic securities abuses2016NCUA$3,000,000
Nomura Securities International Inc.price-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Nomura Securities International Inc.price-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Nomura Securities International Inc.investor protection violation2019SEC$26,400,000
Nomura Securitiesinvestor protection violation2022CFTC$50,000,000
Nomura Securities International, Inc.investor protection violation2022SEC$50,000,000
Nomura Securities Internationalfraud2023USAO$35,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.