Recommendation against 立花証券株式会社
Action summary
- Company
- 立花証券株式会社Japanese onlyOriginal: 立花証券株式会社Corporate Number: 7010001049582
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- March 28, 2025
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
Violation
In soliciting domestic stocks to elderly customers (75 years and older), acts included providing false information, making statements that could lead to misunderstandings about important matters, accepting sell orders without accurately explaining the amount of losses, emphasizing tax-saving benefits through loss offsetting strategies, and conducting one-sided trading solicitations in a short period to obtain passive consent and repeatedly accepting buy and sell orders.
Show original Japanese text
高齢顧客（75歳以上）に対する国内株式の勧誘において、虚偽のことを告げる行為及び重要な事項につき誤解を生ぜしめるべき表示をする行為、また、損失額について正確に説明しないまま売却注文を受託した事例や、損益通算による節税メリットを強調した損切り乗換勧誘、短時間で一方的に売買取引の勧誘を行い受動的な承諾のみを得て繰り返し売買を受注した事例などが含まれる。
Source
Original Securities and Exchange Surveillance Commission announcement (in Japanese)The original Japanese disclosure is the authoritative record.
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Language
日本語版を見る (Japanese)Company info
- English name
- 立花証券株式会社 Japanese only
- Japanese name
- 立花証券株式会社
- Corporate Number
- 7010001049582
- Registered address
- 東京都中央区日本橋茅場町１丁目１３番１４号
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.