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: $129,400,000
Number of records: 4
|Top 5 Offense Groups (Groups Defined)||Penalty Total||Number of Records
|Top 5 Primary Offense Types||Penalty Total||Number of Records
|investor protection violation||$126,400,000||3|
|toxic securities abuses||$3,000,000||1|
: 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.
: 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.
|Company||Primary Offense Type||Year||Agency||Penalty Amount .
|Nomura Securities||investor protection violation||2022||CFTC||$50,000,000
|Nomura Securities International, Inc.||investor protection violation||2022||SEC||$50,000,000
|Nomura Securities International Inc.||investor protection violation||2019||SEC||$26,400,000
|Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.||toxic securities abuses||2016||NCUA||$3,000,000