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Defendants shall be punished by imprisonment for one year and fine for 200,000 won.
The Defendants did not pay each of the above fines.
Reasons
Punishment of the crime
No one shall engage in financial investment business without obtaining authorization from a financial committee member's association.
1. From January 2010 to December 2016, Defendant A acquired profits of KRW 7,770,471,996 in total by selling or mediating unlisted stocks, such as the attached list of crimes, in a manner that: (a) the purchase price of unlisted stocks, such as the Dispute Settlement Bank C, from an unspecified number of investors, was deposited in the account in the name of the Defendant himself/herself or the Dispute Settlement Bank D; and (b) purchased unlisted stocks at the remaining amount after deducting intermediary fees from the intermediary fees; and (c) purchase them into the securities account of investors.
Accordingly, the defendant has run a financial investment business without obtaining authorization from a financial committee member association.
2. The Defendant committed Defendant B’s crime is one of the parties operating the Securities Exchange Co., Ltd. and the Securities Exchange Co., Ltd. Co., Ltd. Co., Ltd. from March 2007 to December 201, and from April 2012 to April 201, Co., Ltd. Co., Ltd. Co., Ltd. Co., Ltd. Co., Ltd. Co., Ltd.
From February 2, 2010 to December 2, 2016, the Defendant traded or arranged non-listed stocks in the name of the Defendant and the company operated by the Defendant as shown in paragraph (1) of the attached Table of Crimes (3), 4,616,134,120 won in total, and traded or arranged 2,408,128, 128, 17,456, 359, and 350 won in the following list of crimes.
Accordingly, the defendant has run a financial investment business without obtaining authorization from a financial committee member association.
Summary of Evidence
1. Defendants’ respective legal statements
1. The protocol concerning the interrogation of the Defendants to the prosecution
1. Four copies of a contract for acquisition of stocks (16-120 pages of investigation records);
1. Contents of H (121, 122 pages) and message content (123-183 pages of investigation records);
1. Results of inquiry about authorization for financial investment business and the current status of authorization (Investigation records 264-266, 1517, 1518 pages);
1.Tax data;