http://chineseinput.net/에서 pinyin(병음)방식으로 중국어를 변환할 수 있습니다.
변환된 중국어를 복사하여 사용하시면 됩니다.
주식의 임의매매와 부당권유로 인한 손해배상청구 (대법원 2003. 1. 24. 선고, 2001 다 2129 판결)
홍복기 ( Hong Bog Gi ) 한국상사판례학회 2003 상사판례연구 Vol.15 No.-
This Article examined a Korean Supreme Court`s ruling regarding (1) a broker-dealer`s solicitation of securities transactions by promising a customer to assume all or a part of the losses; (2) a broker-dealer`s unsuitable recommendation of securities transactions; and (3) consideration of benefits and comparative negligence of a customer. First, a securities company, or officers and employees thereof should not solicit securities transactions by promising a customer to assume all or a part of the losses incurred as a result of the transaction concerned. This kind of promise is void and cannot be enforced by courts. second, the suitability doctrine prohibits a securities broker-dealer from recommending a security to a customer unless she has a reasonable belief that the security Is suitable for that customer. This doctrine imposes a duty on the broker-dealer to take the financial situation, risk threshold, investment sophistication, investment objectives, and other securities holdings of her customers into account when she recommends a security to them. A broker-dealer who recommended an unsuitable security could be subject to legal sanctions. Finally, a customer`s benefits and negligence should be considered in deciding damages caused by a broker-dealer`s discretionary transaction and unsuitable recommendation of stocks.