client assets, giving false information with the intention to deceive clients, and interfering with client assets. The SEC found Sugunya?s misconducts as follows: 1. Deceiving a client to transfer

investigation, Sakkarin was found to have acted in the following manners:   (1)  Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio

report on Tippawan?s defrauding her clients, she admitted that she had forged the client?s signature in the request form for a change of client?s address in order to prevent such client from receiving

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