Recommendation against 株式会社ストックジャパン

Action summary

Company

株式会社ストックジャパンJapanese original

Original: 株式会社ストックジャパン

Corporate Number: 4260001030553

Entity match

Confirmed entity match95/100Machine extracted

Normalized Japanese name matched to a company profile with Corporate Number

Matched by normalized Japanese company name to an enriched company profile with a Corporate Number.

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

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.

This context is an operational aid for review workflows, not a credit opinion or legal conclusion.

Evidence pack

{
  "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": "株式会社ストックジャパン",
    "corporate_number": "4260001030553",
    "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": "confirmed",
    "confidence": 95,
    "method": "normalized_name_with_corporate_number",
    "method_label": "Normalized Japanese name matched to a company profile with Corporate Number",
    "notes": "Matched by normalized Japanese company name to an enriched company profile with a Corporate Number."
  },
  "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",
    "archiveUrl": "https://kiroku.today/view/c25c23643blqpp2r",
    "archiveCapturedAt": "2026-04-05T12:31:02.514+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": "2026-05-20T22:54:21.768Z"
  },
  "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.