Nomura Securities International

CT 2023 Community Banks / Credit Unions

DOJ Fraud

Penalty

$35 million

Outcome

Nomura Securities International Agrees to Pay $35 Million Penalty Stemming from Its Participation in Securities Fraud Scheme

Details

Nomura Securities International — DOJ Enforcement (2023)

DOJ took enforcement action against Nomura Securities International in CT in 2023 involving fraud violations in the Community Banks / Credit Unions sector.

Penalty: $35 million

Violation types: Fraud
Entity type: Financial Institution
Penalty type: Criminal
Location: CT

Source: DOJ Press Release — Nomura Securities International Agrees to Pay $35 Million Penalty Stemming from Its Participation in Securities Fraud Scheme

How Crucible Prevents This

Crucible's compliance monitoring for Community Banks / Credit Unions would have detected the patterns underlying this enforcement action.

Source: DOJ Press Release — Nomura Securities International Agrees to Pay $35 Million Penalty Stemming from Its Participation in Securities Fraud Scheme

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