Criminal Complaints Filed by the Office of SEC

No.
Date of Complaint Filing
Name of Alleged Offender
Section
Relevant Law
Summarized Facts
Press Release
Results
Remarks

1

17/04/2018 Mr. Akkaradech Wattana 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Akkaradech Wattana aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

2

17/04/2018 Mr. Apiruk Chutrakul 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Apiruk Chutrakul aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

3

17/04/2018 Mr. Asa Ninnad 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Asa Ninnad, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: (1) Mr. Yanakorn Warakunrak, (2) Mr.Poonsak Chumchuay, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag, former director and directors, jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

4

17/04/2018 Mr. Kamheang Hoonhirunsai 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Kamheang Hoonhirunsai aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

5

17/04/2018 Mr. Thakorn Taweesri 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Thakorn Taweesri, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: 1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

6

17/04/2018 Mr. Thanyapong Limwongyut 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Thanyapong Limwongyut aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

7

17/04/2018 Mr. Yanakorn Warakunrak 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Yanakorn Warakunrak, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr.Poonsak Chumchuay, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

8

17/04/2018 Mr.Danuj Bunnag 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr.Danuj Bunnag, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay and (4) Mr. Thakorn Taweesri jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

9

17/04/2018 Mr.Poonsak Chumchuay 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr.Poonsak Chumchuay, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

10

17/04/2018 Simba Inter Company Limited 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Simba Inter Company Limited aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

11

17/04/2018 United Trading Group Limited 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, United Trading Group Limited aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

12

24/04/2018 Mr. Khumsup Lochaya 246 SEC Act During December 11, 2008 to present, Mr. Khumsup Lochaya inaccurately reported or fail to reported to the SEC Office the acquisition or disposal of Superblock Public Company Limited (?SUPER?) shares because he did not report the shares that hold by his nominee, Miss Panissara Tiangtham caused his aggregate holding of SUPER shares reached or passed five percent of the total number of voting rights of SUPER.   This case is in the process of inquiry by the special case inquiry official.  

13

04/06/2018 Mr. 16 DV Act  
056/2018
This case is in the process of inquiry by the inquiry official.  

14

11/06/2018 Mr. Chen Xiaoxiang 90 SEC Act Mr. Chen Xiaoxiang colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

15

11/06/2018 Mr. Cheng Jia 90 SEC Act Mr. Cheng Jia colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
: This case is in the process of inquiry by the inquiry official.  

16

11/06/2018 Mr. Ke Xiwei 90 SEC Act Mr. Ke Xiwei colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

17

11/06/2018 Mr. Lu Yangyin 90 SEC Act Mr. Lu Yangyin colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

18

11/06/2018 Mr. Wu Jincheng 90 SEC Act Mr. Wu Jincheng colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

19

11/06/2018 Mr. Xin Ye 90 SEC Act Mr. Xin Ye colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

20

11/06/2018 Mr. Zhou Zhou 90 SEC Act Mr. Zhou Zhou colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

21

12/06/2018 Miss Kanchana Chakvichitsopon 312 SEC Act Miss Kanchana Chakvichitsopon and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

22

12/06/2018 Mr. Eknarin Thammaraks 312 SEC Act Mr. Eknarin Thammaraks and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

23

12/06/2018 Mr. Khajohnpong Khamdee 312 SEC Act Mr. Khajohnpong Khamdee and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

24

12/06/2018 Mr. Phiboon Phihakendr 312 SEC Act Mr. Phiboon Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

25

12/06/2018 Mr. Phipat Phihakendr 312 SEC Act Mr. Phipat Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

26

12/06/2018 Mr. Phiroon Phihakendr 312 SEC Act Mr. Phiroon Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

27

12/06/2018 Mr. Phisudhi Phihakendr 312 SEC Act Mr. Phisudhi Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the special case inquiry official.  

28

12/06/2018 Mr. Somkiat Sukdheva 312 SEC Act Mr. Somkiat Sukdheva and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

29

12/06/2018 Mr. Suriyaporn Bunchai 312 SEC Act Mr. Suriyaporn Bunchai and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

30

12/06/2018 Mr. Thanawat Pratoomsuwan 312 SEC Act Mr. Thanawat Pratoomsuwan and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

31

12/06/2018 Mr. Thongchai Watanasoponwong 312 SEC Act Mr. Thongchai Watanasoponwong and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

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