Search Results | Showing 111 - 120 of 190 results for "Commonwealth Director of Public Prosecution" |
| | | A former analyst with boutique finance firm Lincoln Crowne & Company (LCC) has pleaded guilty to an insider trading charge following an Australian Securities and Investments Commission (ASIC) investigation. The charge against Jonathan Jin Yi Ang, 25 ... |
| | | | Proceedings against former Westpoint directors Norman Carey and Graeme Rundle have collapsed after the regulator discovered a surprise document, two weeks into the trial. The Australian Securities and Investment Commission (ASIC) said it had disclosed ... |
| | | | A former J.P. Morgan employee has been sentenced to 18 months jail by the NSW District Court after she gave inside information to a friend while working at the investment bank. Elisa Rietbergen, of Kensington, NSW gave confidential information to her ... |
| | | | A former financial adviser from Randwick, Sydney, has been sentenced to a total of 34 months imprisonment, after she illegally collected over $380,000 in insurance commissions. Susan Heathwood was sentenced in the Downing Centre District Court after ... |
| | | | Sydney based mortgage broker, Daniel Nguyen has pleaded guilty to ten charges after he provided false information to banks to secure approvals for $3 million worth of home loans for his clients. The charges laid against Nguyen, 45, are the first to ... |
| | | | Former WealthSure financial adviser, Brian William Veitch has appeared in court on 22 fraud charges, after he allegedly fraudulently transferred funds totalling $500,000 from seven client accounts without their knowledge or authority. These charges ... |
| | | | Former Adelaide adviser Robert Owen Bean has appeared in court on 52 charges of engaging in dishonest conduct including accusations of misappropriating over $3.1 million of client funds. In May 2011, the corporate watchdog permanently banned Bean from ... |
| | | | A Queensland woman who ran an unlicensed investment company, and purchased a house with the proceeds is now behind bars. Tania Michele Oakley of Noosa, appeared for sentencing in Maroochydore District Court on 3 September 2012 after pleading guilty ... |
| | | | Former Queensland-based director of the purported investment company Tanoak Pty Ltd, Tania Michele Oakley has pleaded guilty to three criminal charges following an ASIC investigation. ASIC alleged that between March 6, 2007 and April 16, 2007, Oakley ... |
| | | | Norman Graham, former managing director of stockbroking and research firm, Lonsec, has appeared in the Magistrates' Court of Victoria charged with 14 counts of insider trading, following an ASIC investigation. The Australian Securities & Investments ... |
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