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Showing 111 - 120 of 150 results for "Dishonest conduct"

Adviser pleads guilty to dishonest conduct

LINDA HAUSKEN  |  WEDNESDAY, 27 JUN 2012
Former financial adviser Susan Heathwood has pleaded guilty to dishonest conduct on two accounts by falsifying insurance applications in order to collect commissions. The ex adviser pleaded guilty on two counts in Downing Centre Local Court yesterday ...

Former financial adviser gets three years jail time

CLAIRE MCGREAL  |  MONDAY, 7 NOV 2011
... in May to one count of obtaining money by deception, one count of using a false instrument and four counts of dishonest conduct in relation to financial services. The court heard how Brown dishonestly withdrew funds worth around $600,000 from five clients' ...

ASIC annual report highlights industry trends

ELISE BURGESS  |  MONDAY, 31 OCT 2011
... regulator's records of the industry with some 64 licence withdrawals being recorded during this period due to dishonest conduct or failure to meet ASIC standards. Medcraft said the main priorities for the past financial year were better informed investors ...

Former company director pleads guilty to dishonest conduct

CLAIRE MCGREAL  |  THURSDAY, 6 OCT 2011
... former Sydney company director faces possible jail time and a hefty fine after pleading guilty to nine charges of dishonest conduct involving investor funds worth more than $1.8 million. ASIC alleged that Simon Finnigan of Potts Point raised funds from ...

ASIC: Former Bell Potter adviser charged

RACHEL DAVIS  |  WEDNESDAY, 28 SEP 2011
A former Bell Potter Securities employee has been charged with five counts of dishonest conduct involving more than $1.8 million, following an ASIC investigation. Lawson Stuart Donald, 36, worked at the stockbroking firm as a client adviser between ...

Trio chair ban and Richard jailed

ELISE BURGESS  |  FRIDAY, 12 AUG 2011
... Meanwhile in today's news reports, former investment manager director of Astarra, Shawn Richard, was found guilty of dishonest conduct and sentence to 2 years and six months behind bars in protected custody and an additional 15 month good behaviour bond. ...

Astarra director convicted by NSW Supreme Court

ALISON BEVEGE  |  MONDAY, 25 JUL 2011
... Management. Justice Peter Garling convicted the 36-year-old Canadian-born investment manager of two counts of dishonest conduct over the Trio Capital fraud. Investors lost $180 million from two investment funds managed by Trio Capita, namely Astarra ...

Adviser banned for life by ASIC

ASIC RELEASE  |  WEDNESDAY, 20 APR 2011
... Veitch failed to comply with financial services law between 23 October 2008 and 5 February 2010 by engaging in dishonest conduct by transferring some $500,000 of client funds for his own purpose. Additionally, Veitch allegedly provided false portfolio ...

ASIC slaps seven-year ban on planner

ELISE BURGESS  |  FRIDAY, 11 MAR 2011
... financial adviser at CFP between 1 October 2003 and 6 July 2009, during which he was found guilty of misleading and dishonest conduct. An ASIC investigation into Nguyen's conduct found that over the course of two years, Nguyen was guilty of failing to ...

Former Astarra investment manager pleads guilty

ELISE BURGESS  |  MONDAY, 7 FEB 2011
... director of investment manager Astarra Asset Management (AAM), Shawn Richard, pleaded guilty to two counts of dishonest conduct in the Supreme Court of NSW on Friday. Richard also pleaded guilty to one charge of making false statements in relation to ...