| Name: | MIZUHO SECURITIES USA INC. |
| Jurisdiction: | New York |
| Legal type: | FOREIGN BUSINESS CORPORATION |
| Status: | Inactive |
| Date of registration: | 19 Jul 1979 (46 years ago) |
| Date of dissolution: | 20 Apr 2017 |
| Entity Number: | 570113 |
| ZIP code: | 10005 |
| County: | New York |
| Place of Formation: | Delaware |
| Principal Address: | 320 PARK AVENUE, FL 12, NEW YORK, NY, United States, 10022 |
| Address: | 28 LIBERTY ST., NEW YORK, NY, United States, 10005 |
| Plan Name | Plan Year | EIN/PN | Received | Sponsor | Total number of participants | |||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| MIZUHO SECURITIES USA INC WELFARE BENEFIT PLAN | 2016 | 362880742 | 2017-10-16 | MIZUHO SECURITIES USA INC. | 549 | |||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||
| Active participants | 578 |
| Retired or separated participants receiving benefits | 11 |
Signature of
| Role | Plan administrator |
| Date | 2017-10-16 |
| Name of individual signing | DAVID KRONENBERG |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 502 |
| Effective date of plan | 2007-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2016261316 |
| Plan sponsor’s mailing address | 320 PARK AVE, NEW YORK, NY, 10022 |
| Plan sponsor’s address | 320 PARK AVE, NEW YORK, NY, 10022 |
Number of participants as of the end of the plan year
| Active participants | 420 |
Signature of
| Role | Plan administrator |
| Date | 2017-10-16 |
| Name of individual signing | DAVID KRONENBERG |
| Valid signature | Filed with authorized/valid electronic signature |
| Name | Role | Address |
|---|---|---|
| C T CORPORATION SYSTEM | Agent | 28 LIBERTY ST., NEW YORK, NY, 10005 |
| Name | Role | Address |
|---|---|---|
| C T CORPORATION SYSTEM | DOS Process Agent | 28 LIBERTY ST., NEW YORK, NY, United States, 10005 |
| Name | Role | Address |
|---|---|---|
| JERRY RIZZIERI | Chief Executive Officer | 320 PARK AVENUE, FL 12, NEW YORK, NY, United States, 10022 |
| Start date | End date | Type | Value |
|---|---|---|---|
| 2016-10-31 | 2019-01-28 | Address | 111 EIGHTH AVENUE, NEW YORK, NY, 10011, USA (Type of address: Registered Agent) |
| 2016-10-31 | 2019-01-28 | Address | 111 EIGHTH AVENUE, NEW YORK, NY, 10011, USA (Type of address: Service of Process) |
| 2011-10-24 | 2016-10-31 | Address | ATTN: GENERAL COUNSEL'S OFFICE, 320 PARK AVENUE, 12TH FLOOR, NEW YORK, NY, 10022, USA (Type of address: Service of Process) |
| 2002-03-04 | 2011-10-24 | Address | 650 COLLEGE ROAD EAST, PRINCETON, NJ, 00000, USA (Type of address: Service of Process) |
| 2001-08-31 | 2002-03-04 | Address | 2 WORLD FINANCIAL CTR 26TH, NEW YORK, NY, 00000, USA (Type of address: Service of Process) |
| 1999-07-26 | 2016-12-07 | Address | 2 WORLD FINANCIAL CTR, SOUTH TOWER 26TH FLR, NEW YORK, NY, 10281, 1008, USA (Type of address: Chief Executive Officer) |
| 1999-07-26 | 2001-08-31 | Address | C/O MICHAEL LOFARO, 2 WORLD FIN. CTR, S. TWR, 26FL, NEW YORK, NY, 10281, 1008, USA (Type of address: Service of Process) |
| 1999-07-26 | 2016-12-07 | Address | 2 WORLD FINANCIAL CTR, NEW YORK, NY, 10281, 1008, USA (Type of address: Principal Executive Office) |
| 1997-07-24 | 1999-07-26 | Address | THE FUJI BANK, LTD, 2 WORLD TRADE CTR 82ND FL, NEW YORK, NY, 10048, USA (Type of address: Chief Executive Officer) |
| 1997-07-24 | 1999-07-26 | Address | ALEXANDER YANNOTTI SOUTH TOWER, 2 WORLD FINANCIAL CTR 26TH FL, NEW YORK, NY, 10281, USA (Type of address: Service of Process) |
| Filing Number | Date Filed | Type | Effective Date |
|---|---|---|---|
| 20190131023 | 2019-01-31 | ASSUMED NAME CORP INITIAL FILING | 2019-01-31 |
| SR-9281 | 2019-01-28 | CERTIFICATE OF CHANGE (BY AGENT) | 2019-01-28 |
| SR-9280 | 2019-01-28 | CERTIFICATE OF CHANGE (BY AGENT) | 2019-01-28 |
| 170420000148 | 2017-04-20 | CERTIFICATE OF TERMINATION | 2017-04-20 |
| 161207002032 | 2016-12-07 | BIENNIAL STATEMENT | 2015-07-01 |
| 161031000537 | 2016-10-31 | CERTIFICATE OF CHANGE | 2016-10-31 |
| 111024000382 | 2011-10-24 | CERTIFICATE OF CHANGE | 2011-10-24 |
| 020402000246 | 2002-04-02 | CERTIFICATE OF AMENDMENT | 2002-04-02 |
| 020304000700 | 2002-03-04 | CERTIFICATE OF MERGER | 2002-03-31 |
| 010919000606 | 2001-09-19 | COURT ORDER | 2001-09-19 |
| Docket Number | Nature of Suit | Filing Date | Disposition | |||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 0702241 | Other Statutory Actions | 2007-03-15 | other | |||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||
| Name | CALYON |
| Role | Plaintiff |
| Name | MIZUHO SECURITIES USA INC. |
| Role | Defendant |
| Circuit | Second Circuit |
| Origin | original proceeding |
| Jurisdiction | US government plaintiff |
| Jury Demand | Neither plaintiff nor defendant demands jury |
| Demanded Amount | 0 |
| Termination Class Action | Missing |
| Procedural Progress | no court action |
| Nature Of Judgment | monetary award and other |
| Judgement | plaintiff |
| Arbitration On Termination | Missing |
| Office | 1 |
| Filing Date | 2012-07-18 |
| Termination Date | 2012-07-26 |
| Section | 0077 |
| Status | Terminated |
Parties
| Name | U.S. SECURITIES & EXCHANGE COM |
| Role | Plaintiff |
| Name | MIZUHO SECURITIES USA INC. |
| Role | Defendant |
Date of last update: 17 Mar 2025
Sources: New York Secretary of State
