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1. The Plaintiff:
A. Defendant C Co., Ltd.: (a) KRW 350,130,101 and its related thereto, from October 15, 2015 to December 17, 2018.
Reasons
1. Basic facts
A. D was an employee of E Co., Ltd. engaged in financial product placement and consulting business without obtaining authorization from the Financial Services Commission, and Defendant B is the representative of Defendant C Co., Ltd. (hereinafter “Defendant C”) engaged in derivatives investment consulting business without obtaining authorization from the Financial Services Commission, and Defendant C is a corporation established for the purpose of investment consulting of derivatives.
B. After introducing Defendant B to the Plaintiff, the Plaintiff solicited the Plaintiff to make investments in a manner that guarantees the principal and specified profits through Defendant C operated by Defendant B, and the Defendant B made use of money in the Plaintiff’s account in the Plaintiff’s name to make profits.
C. On November 18, 2014, the Plaintiff entered into a contract with Defendant C to guarantee the principal amount of KRW 250,000,000 per annum and KRW 8.4% per annum (hereinafter “instant 1 investment contract”). On April 23, 2015, the Plaintiff entered into a contract (hereinafter “instant 2 investment contract”) under which the terms of the contract will guarantee the principal amount of KRW 500,000,000 and KRW 9.6% per annum (hereinafter “instant 2 investment contract”).
Defendant B, without being registered with the Financial Services Commission, did not enter into a 1 and 2 investment contract with the Plaintiff and run the discretionary investment business with discretionary investment authority to invest in money exclusively.
E. On October 14, 2015, the Plaintiff terminated the instant secondary investment contract with Defendant C, and the remaining balance in the Plaintiff’s investment account was KRW 157,869,899.
F. The Defendants and D run a discretionary investment business on October 15, 2018 without being registered with the Financial Services Commission. Defendant C, the representative of a legal entity, committed a violation in relation to the business of the legal entity, and D did not obtain authorization from the Financial Services Commission.