Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of
liable to offering for sale and giving trading service of digital tokens without license; however, the company’s public solicitation for investment in digital tokens still continues to be found.The
Selling of Securities in Foreign Country by Securities Company Without Having Possession
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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
Navista Global Markets Ltd. Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The
GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public