Our Staff has compiled our research into a database of FINRA Broker Disclosures for Nomura Securities International, 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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Fitzgibbon | 5396008 | 1 | 05/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jisoo Lee | 6120498 | 1 | 04/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yasushi Ito | 7004496 | 2 | 07/14/2017 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Aleksandr Kosoglyadov | 5351465 | 1 | 07/06/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yasushi Ito | 7004496 | 2 | 06/06/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Kevin Jerome Carroll | 2858024 | 2 | 01/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shellie-Ann Anecia Francis | 4196492 | 1 | 11/05/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Jerome Carroll | 2858024 | 2 | 09/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Ambrose | 2849572 | 1 | 03/15/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vinny Mewalal Sookoo | 3035967 | 1 | 01/15/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |