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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Dimatteo | 6101425 | 1 | 09/22/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel L Pimentel | 5687124 | 1 | 09/17/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexander Hayes Witten | 5004834 | 1 | 11/24/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan Gonsales Keenan | 7484541 | 2 | 03/27/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Farbod Bazargan-Lari | 5344729 | 1 | 05/31/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Craig Shilakes | 1723870 | 1 | 05/10/2001 | Customer Dispute | Settled | $101,257.00 | $0.00 | See FINRA Report |
| Ryan Gonsales Keenan | 7484541 | 2 | 05/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Farraye | 1209594 | 1 | 05/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael P Guerra | 4670766 | 1 | 03/09/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel James Boyd | 5699770 | 1 | 03/22/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |