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(영문) 서울남부지방법원 2017.03.24 2017고합45
자본시장과금융투자업에관한법률위반
Text

Defendant

A Imprisonment of 2 years and six months and fine of 200,000,000 won, Defendant B’s imprisonment of 1 year and six months and fine of 15,00,000 won.

Reasons

Punishment of the crime

1. No person who is a defendant A shall engage in financial investment business without obtaining authorization from a financial committee member's meeting;

From March 2010 to December 2016, the Defendant stated that the purchase price of stocks of an unlisted company, such as the Dispute Resolution Co., Ltd., in the name of the Defendant himself/herself account or the Defendant’s account in the name of the LAB, and the written indictment in the name of the LAB. However, in light of the evidence duly adopted and investigated by this court and the contents of the attached crime list (1) in light of the evidence duly adopted and investigated by this court, it appears to be a clerical error, and even if deleted, it is not likely to cause a substantial disadvantage to the Defendant’s exercise of his/her right to defense, the Defendant shall correct

The indictment to purchase non-listed company shares in the remaining amount after deducting the brokerage commission from the account after deposit with the account, or to arrange the non-listed company shares in the name of investors to the non-listed company H et al., or to receive the funds in the name of the defendant himself/herself or the account of I, J with the credit card payment and the purchase price of the defendant's vehicle, etc. is stated only in the indictment by acquiring the defendant's brokerage commission fee in the manner of acquiring the defendant's sales commission.

However, in light of the evidence duly adopted and examined by this court, the defendant is also a broker fee in the manner that he/she mediates the shares of the non-listed company to the H et al. and receives money from the defendant himself/herself account or the account of I and J with a fee or pays the credit card price and vehicle purchase price.

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