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Showing 101 - 110 of 147 results for "JAN 2019"

Adviser jailed for five and a half years

HAMISH MADDEN  |  FRIDAY, 9 FEB 2007
An unlicensed Queensland adviser has been jailed for five and a half years for fraud involving hundreds of thousands of dollars of client money. Shane Hoy was sentenced to five and a half years jail by the Brisbane District Court after an Australian ...

End for scheme scamming Greek community

HAMISH MADDEN  |  FRIDAY, 2 FEB 2007
An unregistered managed investment scheme has been ordered into liquidation and its directors banned from carrying on a similar business after they raised over $2.5 million from investors, predominantly from Melbourne's Greek community. The Supreme ...

BT appoints private bank GM

NICK OLIVER  |  MONDAY, 22 JAN 2007
BT Financial Group has announced the appointment of a new general manager of the Westpac/BT Private Bank. Jan Swinhoe has been appointed new general manager of Westpac/BT Private Bank, moving from her position of general manager of Large Corporates ...

Courts continue to unwind Westpoint mess

HAMISH MADDEN  |  FRIDAY, 8 DEC 2006
The Federal Court has ordered the winding up of 14 companies associated with Norman Carey and the Westpoint group. Ruling on an application made by the Australian Securities and Investments Commission (ASIC), the Federal Court ordered the winding up ...

Patersons' poor compliance under review

The Australian Securities and Investments Commission (ASIC) has called on specialist stockbroker Patersons Securities to review its monitoring and supervision of staff after it found that two Patersons employees may have risked client funds through ...

Record numbers achieve CFA charter

HAMISH MADDEN  |  THURSDAY, 23 NOV 2006
Last night around 40 candidates were awarded their Chartered Financial AnalystA(R) (CFAA(R)) charter at a dinner in Sydney, part of the record 228 Australian candidates who will become eligible for a CFAA(R) charter this year. To earn a CFAA(R) charter ...

Liquidator gets 12 month suspension

Sydney liquidator Ronald Dean-Wilcocks has been suspended for 12 months from working as a liquidator after he failed to disclose conflicts of interest to his clients. Dean-Wilcocks challenged the suspension handed down in April this year but this was ...

Broker gets jail term for forgery

A former options advisor and stockbroker has been sentenced to two and a half years in prison on 27 forgery charges and for trading $1.28 million worth of his clients' shares without their knowledge. In a case bearing some resemblance to the now infamous ...

Former NAB adviser gets 8 years

HAMISH MADDEN  |  MONDAY, 6 NOV 2006
A former National Australia Bank (NAB) financial planner has been jailed for eight years for dishonesty and fraud relating to nearly $6 million of misappropriated funds. Following an Australian Securities and Investments Commission (ASIC) investigation ...

Property promoter gets life ban and $1.1m penalty

Donald Maxwell, a promoter of illegal mezzanine fund schemes, has been ordered to pay $1.122 million in compensation and penalties and has been disqualified from providing financial services for life. Maxwell was the principal promoter for two failed ...