1. On February 2, 2013, the Defendant made a false statement to the effect that “The Defendant would guarantee the principal and would make a profit by making an investment because he/she received an investment,” at the victim E’s house located in the Daegu Suwon-gu, Daegu-gu, 2013.

However, in fact, the Defendant did not have any intent or ability to guarantee or promise the principal even if the Defendant made a stock investment with the money received from the victimized party, and some of the money received from the victimized party was considered to be used as living expenses, etc., and even if the Defendant actually made a stock investment and suffered damages of KRW 19,373,607 in 2013, the Defendant was able to know the victim E by paying KRW 3,556,942 as if he received profits from the victim E.

Around February 6, 2013, the Defendant: (a) had the victim E by deceiving the victim E; and (b) had received KRW 30 million from the Defendant’s corporate bank account (F) around February 6, 2013; and (c) had the victim E, G, and H received KRW 840 million in total from the victim E, G, and H on 19 occasions from May 30, 2017, as stated in the list of crimes in the attached list of crimes.

2. No person who violates the Financial Investment Services and Capital Markets Act shall engage in daily forestry business without having his/her financial investment business registered under the Financial Investment Services and Capital Markets Act;

Nevertheless, from February 6, 2013 to May 30, 2017, the Defendant received 300 million won from E without registering the financial investment business, KRW 190 million from G, and KRW 200 million from H, without registering the financial investment business.

Accordingly, the Defendant, without registering a financial investment business, received a full investment judgment from an investor on the financial investment instrument from the investor and operated the financial investment instrument by acquiring or disposing of the financial investment instrument or by any other means, taking into account the investor’s financial status, investment purpose, etc.