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Showing 111 - 120 of 190 results for "Commonwealth Director of Public Prosecution"

Former boutique firm analyst pleads guilty to insider trading

ALICE URIBE  |  THURSDAY, 30 MAY 2013
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 ...

ASIC drops charges against Westpoint directors

MARK SMITH  |  WEDNESDAY, 15 MAY 2013
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 ...

Insider trading gets former J.P. Morgan staffer jail

BEN COLLINS  |  THURSDAY, 6 DEC 2012
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 ...

34 months prison for ex- GuardianFP adviser

BEN COLLINS  |  TUESDAY, 13 NOV 2012
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 ...

Mortgage broker first offender under new law

LINDA HAUSKEN  |  WEDNESDAY, 26 SEP 2012
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 ...

Adviser faces court on 22 charges

LINDA HAUSKEN  |  THURSDAY, 13 SEP 2012
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 ...

Adelaide adviser facing sentence

LINDA HAUSKEN  |  MONDAY, 10 SEP 2012
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 ...

Unlicensed director jailed

BEN COLLINS  |  THURSDAY, 6 SEP 2012
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 investment company director pleads guilty

MELANIE TIMBRELL  |  MONDAY, 23 JUL 2012
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 ...

Former Lonsec director charged with insider trading

BEN COLLINS  |  THURSDAY, 7 JUN 2012
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 ...