Daiwa Capital Markets America Inc.

Daiwa Capital Markets America Inc.
Locations Update This Record Cases by Outcome Cases by Type	SEC CIK 1489000

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	Date Filed	Venue	Case Number	Title	Party Type
	8/25/2017	New York Southern District Court	1:17-cv-06497	Breakwater Trading LLC et al v. Bank Of America Corporation ...	Defendant
	7/7/2016	New York Southern District Court	1:16-cv-05437	Torus Capital, LLC v. Bank of Nova Scotia, New York Agency e...	Defendant
	5/9/2016	New York Southern District Court	1:16-cv-03449	Breakwater Trading LLC et al v. Bank Of America Corporation ...	Defendant
	2/16/2016	New York Southern District Court	1:16-cv-01177	American Federation of Teachers v. Bank of Nova Scotia, New ...	Defendant
	1/8/2016	New York Southern District Court	1:16-cv-00180	UNIQA Capital Markets GmbH v. Bank of Nova Scotia, New York ...	Defendant
	1/5/2016	New York Southern District Court	1:16-cv-00030	CNB Bancorp, Inc. v. Bank of Nova Scotia, New York Agency et...	Defendant
	1/4/2016	New York Southern District Court	1:16-cv-00005	0EBC6F8 v. Bank of Nova Scotia, New York Agency et al	Defendant
	12/22/2015	New York Southern District Court	1:15-cv-09968	The Police Retirement System of St Louis v. Bank Of Nova Sco...	Defendant
	12/16/2015	New York Southern District Court	1:15-md-02673	In re: Treasury Securities Auction Antitrust Litigation	Defendant
	12/16/2015	New York Southern District Court	1:15-cv-09803	Twin City Iron Workers Pension Fund et al. v. Bank of Nova S...	Defendant
	11/20/2015	New York Southern District Court	1:15-cv-09169		Defendant
	11/6/2015	New York Southern District Court	1:15-cv-08766	Mayor and City Council of Baltimore et al v. Bank of Nova Sc...	Defendant
	10/28/2015	New York Southern District Court	1:15-cv-08484	University of Puerto Rico Retirement System v. Bank of Nova...	Defendant
	10/21/2015	New York Southern District Court	1:15-cv-08287	Air Conditioning and Refrigeration Industry Retirement Trust...	Defendant
	10/15/2015	New York Southern District Court	1:15-cv-08149	Oklahoma Police Pension and Retirement System v. Bank of Nov...	Defendant
	10/5/2015	New York Southern District Court	1:15-cv-07855	Teel v. Bank of Nova Scotia, New York Agency et al	Defendant
	9/30/2015	New York Southern District Court	1:15-cv-07735	Corbett et al v. Bank of America Corp. et al	Defendant
	9/30/2015	Illinois Northern District Court	1:15-cv-08634	Smith v. Bank of Nova Scotia, New York Agency	Defendant
	9/29/2015	New York Southern District Court	1:15-cv-07688	City of Providence v. Bank of Nova Scotia, New York Agency e...	Defendant
	9/28/2015	New York Southern District Court	1:15-cv-07642	The New Jersey Laborers Statewide Funds v. Bank of Nova Scot...	Defendant
	9/28/2015	New York Southern District Court	1:15-cv-07631	Central Laborers Pension Fund et al v. Bank of Nova Scotia,...	Defendant
	9/24/2015	Illinois Northern District Court	1:15-cv-08417	The Police Retirement System of St Louis v. Bank Of Nova Sco...	Defendant
	9/22/2015	New York Southern District Court	1:15-cv-07481	Endeavor Trading, LLC v. Bank of Nova Scotia, New York Agenc...	Defendant
	9/18/2015	New York Southern District Court	1:15-cv-07420	Alaska Electrical Pension Fund v. Bank of Nova Scotia New Yo...	Defendant
	9/17/2015	New York Southern District Court	1:15-cv-07390	Bank of Jerusalem, Ltd. v. Bank of Nova Scotia, New York Age...	Defendant
	9/17/2015	New York Southern District Court	1:15-cv-07385	Laborers Local 100 and 397 Health and Welfare Fund et al v. ...	Defendant
	9/16/2015	New York Southern District Court	1:15-cv-07329	Franklin et al v. Bank of Nova Scotia et al	Defendant
	9/10/2015	New York Southern District Court	1:15-cv-07111	City of Atlanta Firefighters' Pension Fund v. Bank of Nova S...	Defendant
	9/4/2015	New York Southern District Court	1:15-cv-07006	Employees Retirement System of Rhode Island et al v. Bank of...	Defendant
	9/1/2015	New York Southern District Court		Fouts v. Bank of Nova Scotia, New York Agency et al	Defendant
	8/28/2015	New York Southern District Court	1:15-cv-06853	United Food and Commercial Workers Local 1776 & Participatin...	Defendant
	8/26/2015	New York Southern District Court	1:15-cv-06782	Cleveland Bakers and Teamsters Pension Fund et al v. Bank of...	Defendant
	8/17/2015	New York Southern District Court	1:15-cv-06474	Oklahoma Firefighters Pension and Retirement System v. Bank ...	Defendant
	8/5/2015	New York Southern District Court	1:15-cv-06139	St. John v. Bank of Nova Scotia, New York Agency et al	Defendant
	8/4/2015	New York Southern District Court	1:15-cv-06129	Rutgers Enhanced Insurance Company v. Bank of Nova Scotia	Defendant
	8/3/2015	New York Southern District Court	1:15-cv-06072		Defendant
	7/30/2015	New York Southern District Court	1:15-cv-06003	IBEW Local 640 Arizona Chapter NECA Pensin Trust Fund v. BMO...	Defendant
	7/29/2015	New York Southern District Court	1:15-cv-05939	Inter-Local Pension Fund Graphic Communications Conference o...	Defendant
	7/29/2015	New York Southern District Court	1:15-cv-05957	United International Insurance Company v. Bank of Nova Scoti...	Defendant
	7/28/2015	New York Southern District Court	1:15-cv-05931	United Food and Commercial Workers Union and Participating f...	Defendant
	7/24/2015	New York Southern District Court	1:15-cv-05830	Arkansas Teacher Retirement System v. Bank of Nova Scotia et...	Defendant
	7/24/2015	New York Southern District Court		Federighi v. Bank of Nova Scotia, New York Agency et al	Defendant
	7/23/2015	New York Southern District Court	1:15-cv-05794	State-Boston Retirement System v. Bank of Nova Scotia et al	Defendant
	7/23/2015	New York Southern District Court	1:15-cv-05807	Beaver County Employees' Retirement Fund et al v. Bank of No...	Defendant
	2/2/2011	New York Southern District Court	1:11-cv-00733	Pennsylvania Public School Employees' Retirement System v. B...	Defendant

45 Rows Total

Inside Counsel (1)

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Outside Counsel (3)

	Last Name	First Name	Middle Name	Firm	Location
	Friedman	Alan	R.	Kramer Levin Naftalis & Frankel LLP	New York, NY
	Jacoby	Tobias	B.	Kramer Levin Naftalis & Frankel LLP
	Naftalis	Gary	P.	Kramer Levin Naftalis & Frankel LLP	New York, NY

3 Rows Total

Filter By Form All Records 13F-HR 13F-NT From To

	Date	Entity	Form Number	Description
	11/14/2025		13F-NT
	8/13/2014		13F-NT
	5/14/2014		13F-NT
	2/13/2014		13F-HR
	5/13/2013		13F-NT
	2/14/2013		13F-NT
	11/13/2012		13F-NT
	8/7/2012		13F-NT
	5/10/2012		13F-NT
	2/8/2012		13F-NT
	10/27/2011		13F-NT
	8/3/2011		13F-NT
	5/16/2011		13F-NT
	2/23/2011		13F-NT

14 Rows Total

Daiwa Capital Markets America Inc. has not been involved in any patent assignment transactions in the PlainSite database.

Daiwa Capital Markets America Inc. has not been involved in any trademark assignment transactions in the PlainSite database.

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Incoming Payments

This organization has not disclosed any incoming payments from lobbying groups.

Outgoing Payments

This organization has not disclosed any outgoing payments to lobbying groups.