trading period to be inconsistent with normal market conditions to mislead other persons that CHUO shares were in high demand at the time and lure them to trade such shares accordingly. His offense was in
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries. The acts of {A} and {B
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November
resulted in the large private hospital operator and increase in {X1}'s revenue from larger market share.In this regard, {B} and {C} aided and abetted {A}'s action by letting him trade {X1} shares through
, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading
beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general