improvements of certain areas in T.U. Dome Fund assets, which was, however, incorrect and caused damage to the Fund. Furthermore, they falsified documents and evidence concerning money withdrawal to mislead

) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing

Company Limited (UKEM) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and

prepared incorrect accounts with intention to deceive others about those fraudulent actions, violated Sections 307, 308, 311 in conjunction with Section 313, and Section 312(2)(3) of the Securities and

TIGER’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with

client?s account and concealed her wrongdoing to deceive the client. Her actions contravene Clauses 11(1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15

Investigation (DSI) against Sompong and four accomplices on the grounds of defrauding and misappropriating SECC?s assets by falsifying documents to deceive the company into paying money for the purchase of non

the investor contact. The interference with the client?s assets and the offering of false information to the client with the intention to deceive are dishonest doings and contravene the standards

? transaction reports, outstanding balance portfolios and copies of bank deposit receipts to deceive the clients that she had purchased and/or sold securities according to their orders or had transferred the

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