reviewed/audited financial statements by July 2, 2014.The SEC found that the auditor expressed the adverse conclusion on PRO interim financial statements for the first three quarters of 2012 concerning no
, 2006, the SEC filed a criminal complaint with the Department of Special Investigation against the above 4 persons. The principals were 3 ex-POWER-P executives responsible for the company operation
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
of being overwhelmed by distracting giveaway information. Any advertisement found to be non-compliance with the guideline may be ceased or revised. In addition, asset management company or seller may
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
Disposition of Securities (Form 246-2) ( 11 record(s) found) Name of Securities Name of Acquisition/Disposition Types Types of Securities % Held Before Acquisition/ Disposition % Held Acquisition/ Disposition
Issuer Name of Acquisitor/Dispositor Search by Date Transaction Date Published Date Date From To Reports on Acquisition or Disposition of Securities (Form 246-2) ( 11 record(s) found) Name of
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working