Our Staff has compiled our research into a database of FINRA Broker Disclosures for Smbc Nikko Securities America, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| George Gregory Slyz | 5289291 | 1 | 11/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bungo Miura | 5050191 | 1 | 03/24/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Joyce | 7739967 | 1 | 09/24/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Devin James Filocco | 5352565 | 1 | 07/08/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Yanique Shantel McKay | 6758830 | 1 | 03/18/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond B Mulder | 4187293 | 1 | 01/10/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kyle Brendan Blake | 4008495 | 1 | 08/26/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chrystian Carlos Marin | 2866335 | 1 | 03/05/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Adam Krystal | 5275646 | 1 | 07/28/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |