securities or the decision making on securities investment. This case is in the process of inquiry by the inquiry official. SEC Act S.240 (the fifth amendment) Criminal Complaint Filed with an Inquiry
offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very
Quantum Benchmark CorporationQuantum Benchmark Corporation Quantum Benchmark Corporation colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and
to prepare and submit the incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the
the decision-making on investment or the change in the securities price of the company within specified period. SEC Act S.300 Settlement Committee Meeting No. 2/2018 Settlement Committee Order No. 10
failure to prepare and submit the defaults in Bill of Exchange, incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the
Antella Investment Inc. Between 1997 and 2000, Antella Investment Inc. operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of
Finnomena Mutual Fund Brokerage Securities Company Limited Between March 23, 2021 and March 15, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities
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. Gary Bradford Mr. Gary Bradford colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used