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Showing 111 - 120 of 145 results for "Dishonest conduct"

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 ...

Former adviser faces fraud charges

ASIC RELEASE  |  THURSDAY, 27 JAN 2011
... including one count of obtaining money by deception, two counts of using a false instrument, and 12 counts of dishonest conduct in relation to financial services. According to ASIC, Brown fraudulently withdrew a total of $600,000 from five of his client's ...

Former Chartwell director pleads guilty

ELISE BURGESS  |  FRIDAY, 10 DEC 2010
... brought by ASIC, including providing services without a financial services licence and four counts of engaging in dishonest conduct in relation to carrying on a financial services business. The two executives of Chartwell faced a combined 243 charges ...

Astarra director faces five years jail, $220k fine

ASIC RELEASE  |  WEDNESDAY, 8 DEC 2010
... both - and has been banned for life from providing financial services. Richard pleaded guilty to two charges of dishonest conduct in the course of carrying on a financial services business, and admitted a third charge of making false statements in relation ...

ASIC slaps tough penance for fin services misconduct

ELISE BURGESS  |  FRIDAY, 3 DEC 2010
... November 10, ASIC banned a former adviser for market manipulation as a former company director was charged with dishonest conduct. While the more notorious of these cases fall within the broking community, financial planning associations are actively ...

ASIC bans adviser and charges former director

ELISE BURGESS  |  WEDNESDAY, 10 NOV 2010
ASIC bans a former adviser for market manipulation while a former company director has been charged with dishonest conduct. Former client adviser, Lim Theam Chye of Melbourne, is banned from providing financial services for five years after ASIC concluded ...