guaranteed while in fact such rate was only a condition for auto redemption, not an estimate return. In any case, TBANK has already paid a compensation for the damage incurred to the customer.The demeanors of

, causing the company to suffer damage, or a benefit to be gained for himself or other persons in violation of Section 89/7 and Paragraph 2 of Section 281/2 of the Securities and Exchange Act B.E. 2535 (1992

damage client's assets. In case of {C}, the SEC received a report from securities company that had disciplined {C} after findings indicated that he had sent inappropriate trading orders in a manner that

? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from

issuing short-term bill of exchange in return where he then took the money for himself not for the company, causing the company 20 million baht of damage. His misconducts were in violation of the second

of exchange in return where he then took the money for himself not for the company, causing the company 20 million baht of damage. His misconducts were in violation of the second paragraph of Section

solicitation when in fact the public company did not even file an application for share offering, thus never listed on the SET as previously claimed. The clients suffered damage as a result.   The misconducts of

damage from proceeding accordingly. The first case involves four entities, namely: (1) Gilt Edge International (Group) Ltd. ? Thailand representative office, represented by Mrs. Karen Elizabeth Entwistle

make securities borrowing and lending (SBL) trading decisions on the client's behalf in the client's cash account; thereby causing damage to the client. {B} admitted that he had obtained the

the ECD for further proceedings.  At this juncture, any person suffering damage from investment with the said person should contact the ECD Police at 0-2237-1199 for further legal proceedings.??At