inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the

name of Benson Dupont Capital Management.On August 26, 2001, the SEC filed a criminal complaint against Ravi Pattiyawongse, Tyler Terrel Wasser and Patrick De Souza on the charge of an operating

, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf

client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s

Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A

information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave

on standards of conduct.  The FOCUS and IFEC manipulations took place in 2008. The SEC had already filed a criminal complaint against the wrongdoers and aiders while the Settlement Committee had

information or leads regarding suspicious activities, please contact SEC Complaint Center via Hotline 1207 or SEC Official Facebook Page or SEC Live Chat at the SEC website.  

platforms.Over the years, reports of suspicious instances and assistance requests have served as crucial information that help shape proactive measures for the Investment Scam Hotline under the SEC Complaint

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