Defendant shall be punished by a fine of KRW 3,000,000.

If the defendant does not pay the above fine, 50,000 won shall be one day.

Punishment of the crime

No one shall engage in the business of selling and purchasing financial investment instruments, or soliciting brokerage or offers, offering, or accepting an offer, or issuing securities, or inducing offers, offering, or accepting an offer for underwriting without authorization therefor.

Nevertheless, on October 4, 2013, the Defendant agreed to sell LT 1,337 shares per LT 29,441,50 won per share to the petitioner D on October 4, 2013, the Defendant received down payment of KRW 11,832,450 as a new bank passbook (E) in the name of the Defendant on the same day, and received the remainder payment of KRW 27,609,050 on October 7, 2013, and received the remainder payment of KRW 27,609,050 on October 8, 2013, and operated an investment brokerage business (stock trading brokerage business) with the trade name of “F”, such as having the 500 shares per LT 50 shares per share on October 8, 2013.

Summary of Evidence

1. Defendant's legal statement;

1. A written petition;

1. Application of Acts and subordinate statutes concerning transactions of new banks;

1. Relevant Article 44 of the Financial Investment Services and Capital Markets Act and Articles 444 subparagraph 1 and 11 of the same Act concerning facts constituting an offense, and selection of fines;

1. Articles 70 and 69 (2) of the Criminal Act for the detention of a workhouse;

1. It is so decided as per Disposition for not less than Article 334(1) of the Criminal Procedure Act.