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
FL 2024 CO., LTD FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, a company licensed
Finnomena Mutual Fund Brokerage Securities Company Limited Between January 18, 2021 and July 4, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities
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
Finnomena Mutual Fund Brokerage Securities Company Limited Between April 29, 2022 and May 22, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities
with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90
benefits and long-term return. Mr. Malpass received profits from providing investment advisory service in the ordinary course of business. Thus, Mr. Malpass operated securities business as investment advisor
the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within a specified period. SEC Act S.Section 57(6) Settlement