.""Scammers usually try to lure investing public with a variety of ways. Mostly found today is soliciting general public to invest in derivatives on gold and crude oil, for instance, with unreal return of

of CD offerings by listed companies while flaws have been found in notices calling a shareholders? meeting to approve CD offering and authorized shares reserved for CD conversion. Without advice of the

found that on October 3, 2012, {A} {B} and {C} had colluded to trade TPC shares through their own securities trading accounts and the accounts of {D} and {E}. The trading was done in the manner that

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

into the case and found that from May 10th July 31, 2007, {A} in colluding with other persons had traded RICH shares through 15 related persons securities trading accounts to lure the public into the

rules.  Bee was earlier found purchasing EIC shares through the Stock Exchange of Thailand (SET) at a price higher than the tender offer price. His action resulted in a violation of the tender offer rules

exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make

the case and found that from April 7 to 21, 2010, Swake had, via other persons? securities accounts, purchased 5,000,000 PLE shares in the manner that taking advantage of the others by using PLE