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

substantial damages to SECC by (1) embezzling Baht 42 million from SECC share subscription account, (2) misappropriating 25 customers’ car registration certificates, and (3) conspiring with another person to

Mr.Anugul Khumgerd Mr.Anukul Khumgerd, jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses granted

proper licenses granted, violating Section 90 of the Securities and Exchange Act B.E.2535. The Criminal Court dismissed the case. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 31

"Antella Investment" without proper licenses granted. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 05/06/2001

Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a

Glory Prosperity (Thailand) Co., Ltd. Glory Prosperity (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted

World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such

Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343

WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code