Enforcement record
Recommendation disclosure naming 株式会社ストックジャパン
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Recommendation
Law
Financial Instruments and Exchange Act
Authority
Securities and Exchange Surveillance Commission
Action date
5 December 2023
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-SUTOTUKU-202608200654
- Generated at
- 20 August 2026 at 15:54
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-sutotukuziyapan-20231205
1. Review Summary
| Disclosure name | 株式会社ストックジャパン | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 5 December 2023 | Authority | Securities and Exchange Surveillance Commission |
| Law | Financial Instruments and Exchange Act | Action type | Recommendation |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | 株式会社ストックジャパン |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社ストックジャパン |
|---|---|
| Authority | Securities and Exchange Surveillance Commission (証券取引等監視委員会) |
| Law / action type | Financial Instruments and Exchange Act / Recommendation |
| Action / announcement date | Action: 5 December 2023 / Announcement: 12 March 2026 |
| English summary | ① Acts involving advertising with significantly false representations of facts a. The company made representations on its website advertising that significantly misrepresented the prospects of profit, and also falsified statutory books to appear as if the statements were true. b. The page containing the above statements was an advertisement by the company but did not include required display items such as the company name, trade name, or registration number. c. Despite having no contractual relationship with the individual in the above advertisement, the company's sales manager falsely recorded in statutory books that a investment advisory contract had been concluded with that individual and that advice had been provided multiple times. ② Acts involving advertising with representations that significantly mislead The company listed, on its recommended performance page, at least 10 stocks, the date and stock price at the time of recommendation, not the highest price after recommendation, and the stock price fluctuation rate based on that high price. However, the page did not disclose these details and falsely suggested that the high price after recommendation was the date and price at which the company recommended selling to customers. ③ Acts of falsely informing customers When soliciting the conclusion of investment advisory contracts, the company listed on its web page for soliciting advice that the 'original investment advisory fee' was a 'discounted price' to give customers a sense of savings. Through telephone calls by sales staff, the company concluded a total of 257 contracts. |
| Original Japanese text | ① 著しく事実に相違する表示のある広告をする行為等 ア．当社は、自社ウェブサイト上の広告において、利益の見込みについて著しく事実に相違する表示を行ったほか、事実であるかのように装うため法定帳簿に虚偽の内容を記載した。 イ．上記ア．を記載しているページは当社の広告であるにもかかわらず、当社の商号や名称、登録番号が記載されていないなど、広告等における表示義務事項を表示していなかった。 ウ．上記ア．の人物と投資顧問契約を締結した事実は一切ないにもかかわらず、当社営業部長は、上記ア．の人物と投資顧問契約を締結し、複数回にわたり、助言が行われたとの虚偽の内容を法定帳簿に記載した。 ② 著しく人を誤認させるような表示のある広告をする行為 当社は、本件推奨実績ページに掲載している推奨実績のうち、少なくとも10銘柄について、顧客に売り推奨を行った日付及び株価ではなく、買い推奨後の最も高値を付けた日付及び株価（推奨後高値）、当該株価を元に計算した株価変動率を記載しているものの、その点について本件推奨実績ページには一切記載しておらず、あたかも推奨後高値が当社が顧客に売り推奨を行った日付及び株価であるかのように記載している。 ③ 顧客に対し虚偽のことを告げる行為 当社は、投資顧問契約の締結の勧誘を行う際、顧客に割安感を与えるため、当社助言商品の勧誘用ウェブサイトページに「本来の投資顧問料」を「割引後の価格」として記載し、営業員から架電することで、延べ257件の契約を締結した。 |
| Financial / consumer impact | Penalty: - / Affected amount: - / Affected consumers: 3,697 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2023/2023/20231205-1.html |
| Source archive | https://kiroku.today/a/c25c23643bhdjtl8 |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:26 / Evidence checked: 25 April 2026 at 08:26 / Archive captured: 12 July 2026 at 14:51 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
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Action summary
- Company
- 株式会社ストックジャパンJapanese onlyOriginal: 株式会社ストックジャパン
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 5 December 2023
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 金融商品取引業
- Affected consumers
- 3,697
Violation
① Acts involving advertising with significantly false representations of facts a. The company made representations on its website advertising that significantly misrepresented the prospects of profit, and also falsified statutory books to appear as if the statements were true. b. The page containing the above statements was an advertisement by the company but did not include required display items such as the company name, trade name, or registration number. c. Despite having no contractual relationship with the individual in the above advertisement, the company's sales manager falsely recorded in statutory books that a investment advisory contract had been concluded with that individual and that advice had been provided multiple times. ② Acts involving advertising with representations that significantly mislead The company listed, on its recommended performance page, at least 10 stocks, the date and stock price at the time of recommendation, not the highest price after recommendation, and the stock price fluctuation rate based on that high price. However, the page did not disclose these details and falsely suggested that the high price after recommendation was the date and price at which the company recommended selling to customers. ③ Acts of falsely informing customers When soliciting the conclusion of investment advisory contracts, the company listed on its web page for soliciting advice that the 'original investment advisory fee' was a 'discounted price' to give customers a sense of savings. Through telephone calls by sales staff, the company concluded a total of 257 contracts.
Show original Japanese text
① 著しく事実に相違する表示のある広告をする行為等 ア．当社は、自社ウェブサイト上の広告において、利益の見込みについて著しく事実に相違する表示を行ったほか、事実であるかのように装うため法定帳簿に虚偽の内容を記載した。 イ．上記ア．を記載しているページは当社の広告であるにもかかわらず、当社の商号や名称、登録番号が記載されていないなど、広告等における表示義務事項を表示していなかった。 ウ．上記ア．の人物と投資顧問契約を締結した事実は一切ないにもかかわらず、当社営業部長は、上記ア．の人物と投資顧問契約を締結し、複数回にわたり、助言が行われたとの虚偽の内容を法定帳簿に記載した。 ② 著しく人を誤認させるような表示のある広告をする行為 当社は、本件推奨実績ページに掲載している推奨実績のうち、少なくとも10銘柄について、顧客に売り推奨を行った日付及び株価ではなく、買い推奨後の最も高値を付けた日付及び株価（推奨後高値）、当該株価を元に計算した株価変動率を記載しているものの、その点について本件推奨実績ページには一切記載しておらず、あたかも推奨後高値が当社が顧客に売り推奨を行った日付及び株価であるかのように記載している。 ③ 顧客に対し虚偽のことを告げる行為 当社は、投資顧問契約の締結の勧誘を行う際、顧客に割安感を与えるため、当社助言商品の勧誘用ウェブサイトページに「本来の投資顧問料」を「割引後の価格」として記載し、営業員から架電することで、延べ257件の契約を締結した。
Compliance context
MediumA regulator issued a recommendation or formal request for corrective action.
Financial markets law covering securities, investment services, disclosure, and market conduct.
Review the facts and follow-up status. This is usually less severe than a suspension or revocation, but still a public enforcement signal.
This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
Evidence pack
- Extracted at
- 2026-04-24T23:26:02.867+00:00
- Evidence checked
- 2026-04-24T23:26:02.867+00:00
- Archive captured
- 2026-07-12T05:51:37.650557+00:00
Show audit JSON
{
"record": {
"id": "aae06d33-0e4c-48c8-a9e0-b6d875e0e8f8",
"url": "https://regbase.jp/en/enforcement/kinshoho-sutotukuziyapan-20231205",
"company_name_original": "株式会社ストックジャパン",
"company_name_registry": null,
"corporate_number": null,
"law": {
"ja": "金融商品取引法",
"en": "Financial Instruments and Exchange Act"
},
"action_type": {
"ja": "勧告",
"en": "Recommendation"
},
"authority": {
"ja": "証券取引等監視委員会",
"en": "Securities and Exchange Surveillance Commission"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 85,
"method": "nta_strict_name_nationally_unique",
"method_label": "nta_strict_name_nationally_unique",
"notes": "NTA full-download lookup found a nationally unique exact registered-name candidate (株式会社ストックジャパン). No Corporate Number was present in the disclosure, so this remains a likely match."
},
"review": {
"status": "unreviewed",
"label": "Machine extracted"
},
"compliance_context": {
"severity": "Medium",
"actionMeaning": "A regulator issued a recommendation or formal request for corrective action.",
"practicalNote": "Review the facts and follow-up status. This is usually less severe than a suspension or revocation, but still a public enforcement signal.",
"lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
},
"evidence": {
"recordUrl": "https://regbase.jp/en/enforcement/kinshoho-sutotukuziyapan-20231205",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20231205-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/c25c23643bhdjtl8",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20231205-1.html",
"archiveCapturedAt": "2026-07-12T05:51:37.650557+00:00",
"extractedAt": "2026-04-24T23:26:02.867+00:00",
"translatedAt": "2026-05-01T06:43:29.715+00:00",
"evidenceCheckedAt": "2026-04-24T23:26:02.867+00:00",
"generatedAt": "2026-08-20T06:54:07.330Z"
},
"limitations": [
"RegBase aggregates public Japanese government disclosures and does not provide a credit opinion.",
"English summaries are provided for reference. The original Japanese source is authoritative.",
"Possible or unresolved entity matches should be manually verified before use in a decision."
]
}The original Japanese disclosure is the authoritative record. Use possible or unresolved matches only as leads for manual review.
Language
日本語版を見る (Japanese)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.