According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant

Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave

criminal complaint with the Department of Special Investigation (DSI) against Shisiro, Pisan and Kanchanok (or Natchaporn or Rassarin), for falsifying documents and accounting records in the DAIDO financial

related to suspicious acts, please contact the SEC Public Service Center at Hotline 1207 or via SEC Office Facebook Page or SEC Live Chat at the SEC website for further in-depth investigation. In case of

he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact

complaint filed with the Department of Special Investigation on September 9, 2014. They traded UKEM shares in concealment on a continual basis, inflated and stabilized share price, and matched orders within

SEC files criminal complaint against 11 SLC share price manipulators Bangkok, September 9, 2014  ? The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against

1207 for the SEC?s further investigation,? Sakkarin added. Previously, on December 17, 2012, Jaray was also named in the criminal complaint on the same offense for being director of unlicensed businesses