According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
evidence, complaints from 10 securities firms asking for legal actions against a number of persons, allegedly deceiving and defrauding the companies of the securities trading money, causing damage to the
orders at prices several notches above the market price, in order to entice other investors to follow suit and force trading of KDH shares within a set price range ("Pump and Dump"). The aim was to
five individuals committed offenses related to insider trading in TKN shares using undisclosed information they knew or possessed that positively affected TKN’s share price—specifically, TKN’s Q3/2022
, financial transactions, or links with related parties, as well as through the sources of securities trading orders and their trading behaviors. In this regard, (1) Miss Thunyarat Suksawad, (2) Mr. Kittiphat
Previously, the SEC filed a criminal complaint against a group of 18 persons as joint principals in the case of jointly manipulating the price or trading volume of MORE share on 10 November 2022
relationships, and securities trading accounts, jointly engaged in manipulating the price or trading volume of AKP shares. This was carried out by placing buy or sell orders for AKP shares at nearly identical
F2 Trading Corp : Unlicensed digital asset business (Disclosure Date : 09/08/2019)
GenesisTrade Trading Fund : Unlicensed securities and derivatives business (Disclosure Date : 22/11/2019)