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(영문) 서울북부지방법원 2014.05.09 2013고정2755
자본시장과금융투자업에관한법률위반
Text

Defendant shall be punished by a fine of KRW 7,000,000.

If the defendant does not pay the above fine, 50,000 won.

Reasons

Punishment of the crime

C Around October 8, 2010, a person who entered into a contract with D and E (F on September 6, 2011, hereinafter “E”) to acquire the right of management by acquiring the right of management of D and E (hereinafter “E”), and the Defendant and G are each ordinary investors, and H are bond holders who entered into a stock security loan contract with C.

C Around October 2010, at the J office operated by the defendant in Gangnam-gu Seoul, who had acquired management rights of the defendant and G, proposed the defendant and G to jointly manage the E after acquiring management rights of the defendant and G, and offered price manipulation to maintain the E in excess of the trading price (2,00 won) with the defendant and G for the prevention of the opposite trade of the E shares and stable storage.

C On November 8, 2010, the company entered into a contract to provide 5.17 million shares of the above E E to H as collateral and to borrow 7.7 billion won to the bond company in the Jung-gu Seoul Special Metropolitan City L bond office.

No one shall mislead any person to cause a misunderstanding that the trading of listed securities is booming or changing the market price thereof with an intention to attract another person to trade listed securities.

Around November 8, 2010, the Defendant conspired with C and G on November 8, 2010, at the J office located in Gangnam-gu Seoul, the Defendant trading of listed securities with a false investment securities account (Account Number N) in the name of M managed by the Defendant, with a view to inducing trading of listed securities at KRW 2,680 per share with a view to inducing trading of listed securities at KRW 200 per share.

The Defendant conspired with C and G, from that time until November 26, 2010, intended to attract sale and purchase of listed securities by ordering the price manipulation of 476,245 share prices over 383 times in total, including 272 high-priced purchase orders, 88 false purchase orders, 11 times false purchase orders, 2 times market price control orders, 10 times in paper order, and 476,245 share prices of listed securities.

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