DID TAKUSHI SAWADA CAUSE YOU INVESTMENT LOSSES?
Takushi Sawada was fired from Nomura Securities International, Inc. on September 30, 2024, following findings that he engaged in manipulative trading in March 2021.
Who is Takushi Sawada formerly with Nomura Securities International, Inc.?
Takushi Sawada (CRD #6306205) who was formerly registered as a broker with Nomura Securities International, Inc. and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Takushi Sawada Employment History and Termination
Takushi Sawada has worked in the securities industry for over a decade, serving as an Executive Director at Nomura Securities International, Inc. in New York (2014–2024) and with its corporate affiliate, Nomura Securities Co., Ltd., since 2002. His long tenure in the securities field includes expertise in international trading markets.
Sawada passed two general industry/product exams and one multi-state securities law exam but holds no principal or supervisory certifications.
Termination: His employment was terminated by Nomura Securities Co., Ltd. on September 30, 2024, due to allegations of manipulative trading practices. The Japanese Securities Exchange and Surveillance Commission determined that in March 2021, Sawada engaged in a trading strategy known as layering, involving 10-year Japanese Government Bond Futures listed on the Osaka Exchange.
This case highlights the importance of regulatory compliance and transparency in financial markets.
Negative Disclosures Summary
- Termination:
- Date: September 30, 2024
- Details: Sawada was terminated by Nomura Securities Co., Ltd. following findings by the Japanese Securities Exchange and Surveillance Commission that he engaged in manipulative trading practices (layering) involving 10-year Japanese Government Bond Futures in March 2021.
- Outcome: Terminated due to findings of regulatory violations.
Takushi Sawada Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Takushi Sawada is a red flag which should put all current and former customers of Takushi Sawada at Nomura Securities International, Inc.on alert to review carefully the activity and performance of their accounts and question whether Takushi Sawada engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Nomura Securities International, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Nomura Securities International, Inc. Due To Takushi Sawada
If you have questions about Nomura Securities International, Inc. and/or Takushi Sawada and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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