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1. The plaintiff's claim is dismissed.
2. The costs of lawsuit shall be borne by the Plaintiff.
Reasons
1. Basic facts
A. The Defendant is an employee working as a deputy head in a new financial investment company (hereinafter “new financial investment company”). The Plaintiff is a person who opened a securities account (Account Number C; hereinafter “instant account”) in a new financial investment and made an investment in stocks.
B. On January 2013, the Defendant was issued a new financial investment D branch and became aware of the Plaintiff. Around May 22, 2013, the Defendant registered as a person in charge of the instant account and traded shares while managing the instant account from June 2013 to December 2, 2016.
C. The appraised value of the balance in the instant account was KRW 163,107,333 as of June 1, 2013 (securities appraised KRW 153,90,645, and KRW 9,116,688, and KRW 46,58,350 as of December 30, 2016 (securities appraised value).
[Reasons for Recognition] Facts without dispute, Gap evidence Nos. 1, 2, 4, 5 (including paper numbers)
2. The Defendant, upon entering into an agreement to compensate the Plaintiff for losses and managing the instant account, violated the Financial Investment Services and Capital Markets Act by providing the Plaintiff with a prior approval and a post-report without reporting, etc. Accordingly, the Plaintiff suffered large losses.
Since this act of the defendant is a tort against the customer, the defendant is responsible for compensating the plaintiff for the loss incurred during the investment period from June 2013 to December 2016.
3. Determination
A. In light of the fact that securities transaction is naturally accompanied by the risk of multiple uncertain elements, and it is natural that an investor as an investment should bear the loss that he/she may incur from his/her investment within a certain scope, and in view of the fact that an officer or employee of a securities company solicits an investment in violation of the strong regulations, but if the investment result incurred loss, it is necessary to establish tort liability against an investment.