person in charge of mutual funds? investment and might learn of the funds? investment information as well as those having duty to send trading orders. The business operator must seek the SEC approval for
. Eventually, she admitted that some purchasing transactions were made without the client's orders to cut loss in the client's account. This could be considered as misconduct for obtaining authorization to make
SALEE shares from April 2 to October 9, 2007. The trading was in the manner that inflated and stabilized the share price as well as matched orders among those accounts. The transactions resulted in
inflated the share price and matched the trading orders within the group in concealment. This caused PERM shares trading to be inconsistent with the normal market condition to mislead and lure the public
submission of a request to increase credit line only five days after trading of securities. A number of trading orders were sent with high volumes during a certain period of time without sources of the orders
Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or
) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes