Tag Archives: James H. Im

SEC Charges Nomura Securities Head Trader With Fraud

December 21, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

James H. Im of New York New York a stockbroker formerly registered with Nomura Securities International Inc. has been charged by Securities and Exchange Commission (SEC) in a Complaint alleging that Im engaged in securities fraud in regard to the purchases and sales of mortgage backed securities. Securities and Exchange Commission v. James H. Im […]

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