Defendant shall be punished by a fine of KRW 10,000,000.

When the defendant does not pay the above fine, 100,000 won.

Punishment of the crime

The Defendant served as a franchise in the “C”, a brokerage company for non-listed stocks located in 1007, Yangcheon-gu Seoul Metropolitan Government building B.

No one shall engage in financial investment business without obtaining authorization under the Financial Investment Services and Capital Markets Act.

Nevertheless, on February 17, 2015, the Defendant, at the above “C” office, recommended D to purchase 60,000 shares in the name of E, such as recommendation of straw pumps stocks, etc., and was remitted KRW 24,00,000 as a fee.

Summary of Evidence

1. Statement by the defendant in court;

1. A protocol concerning the interrogation of each police suspect against F and E;

1. Statement made by the police against D;

1. Contracts, etc. for acceptance of stocks from among the written complaint filed by D;

1. Application of investigation reports (Submission of suspect A securities transaction details and remittance details of stock transfer proceeds), investigation reports (Submission of suspect EF Account Transactions Details) and statutes;

1. Article 44 of the relevant Act on criminal facts, and Articles 444 subparagraph 1 and 11 of the Financial Investment Services and Capital Markets Act on the Selection of Penalties, and Selection of Fines;

1. Article 70(1) and Article 69(2) of the Criminal Act to attract a workhouse;

1. Article 334 (1) of the Criminal Procedure Act concerning the order of provisional payment;