Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint
Mr. James Gray Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". SEC Act S.305 Criminal Complaint
without warning statements or warning practices are unclear. The SEC is therefore conducting this public hearing on a proposed amendment to the relevant regulations to establish a clear standard of warning
was completed. The company?s financial statements, accordingly, contains unclear item as to reasonableness of the said transaction which may affect the benefit of securities holders and investment
speakers from the US SEC; Mr. Daniel M. Gray, Senior Special Counsel for Market Structure in the Division of Trading and Markets, and Mr. Thomas Mester, Senior Specialized Examiner in the Office of
.” However, the information disclosed by CPAXT may be incomplete or unclear regarding the joint investment in the said project. This could potentially impact the rights and benefits of the shareholders
subject to temporary trading suspension. In addition, the company must proceed to have new operating business to meet the SET regulations within 12 months while its business plan remains unclear
a registration statement previously filed by this applicant. However, the SEC found the same deficiencies on issues such as related party transactions and unclear separation of businesses the
company directors and the unclear information regarding the invitation to the Board of Directors meeting, the SEC has therefore instructed JKN and persons involved to give additional clarification and