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Makota Yamada Faces a Criminal Charge of Market Manipulation

Makota Yamada (CRD #: 5117521), a broker formerly registered with SMBC Nikko Securities America, has a criminal charge on his record, accessed on June 22, 2022. This is according to his BrokerCheck record, accessed on June 30, 2022. Read the details of his criminal charge below.

On April 13, 2022, the Special Investigation Department of the Tokyo District Public Prosecutors Office charged Makota Yamada with alleged violations of article 159, section 3 of the Financial Instruments Exchange Act of Japan related to market manipulation. This is a pending charge.

Background Information

Makota Yamada has passed the following exams:

  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He has worked for the following firms:

  • SMBC Nikko Securities America (CRD #: 28602)
  • Goldman, Sachs & Co.

Kurta Law Can Help

If you worked with Makota Yamada you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

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