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Showing 121 - 130 of 190 results for "Commonwealth Director of Public Prosecution"

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 ...

ASIC brings charges against Opes Prime chief

ELISE BURGESS  |  TUESDAY, 1 MAR 2011
Former Opes Prime Stockbroking chief executive and director, Lirim (Laurie) Emini, has pleaded not guilty to 26 charges brought on by the Australian Securities and Investments Commission (ASIC). Now committed to stand trial, Emini, 47, is facing 22 ...

Ponzi scheme operator jailed

ELISE BURGESS  |  FRIDAY, 28 JAN 2011
The sole director of failed Melbourne-based loan and mortgage broking business, Victorian Finance Broking Services (VFBS), has been sentenced to four years and nine months imprisonment following an ASIC investigation. Hazel Bucello plead guilty to five ...

Astarra director faces five years jail, $220k fine

ASIC RELEASE  |  WEDNESDAY, 8 DEC 2010
The former director of Astarra Asset Management, Shawn Richard, faces a maximum penalty of 5 years imprisonment or a $220,000 fine - or both - and has been banned for life from providing financial services. Richard pleaded guilty to two charges of dishonest ...

Tasmanian former adviser charged for no AFSL

MEDIA RELEASE  |  TUESDAY, 23 NOV 2010
John Vafiadis, previously of Hobart, has been charged for running an advice business without an Australian Financial Services license. Vafiadis appeared in the Hobart Magistrates' Court charged with two counts of carrying on a financial services business ...

Investors lose $7m in Qld scam

ASIC RELEASE  |  THURSDAY, 18 NOV 2010
A group of Queensland-based investors learnt the hard way why they should avoid unlicensed financial advice providers after ASIC catches another $7 million scam. She was sentenced to six months imprisonment but entered into a recognisance in the sum ...

ATO appoints integrity adviser

RUTH LIEW  |  MONDAY, 6 SEP 2010
The Australian Taxation Office has hired former Commonwealth director of public prosecutions, Damian Bugg AM QC, as its integrity adviser. Tax commissioner Michael D'Ascenzo made the announcement late last week, and Bugg will be charged with providing ...

Broker jailed for false trades

ASIC RELEASE  |  WEDNESDAY, 14 JUL 2010
Former Macquarie Equities client adviser Newton Chan has been sentenced to a 20-month imprisonment term - serving four months immediately before being released on a recognisance release order - for share price manipulation. He was sentenced in the Supreme ...

Opes Prime director faces 22 charges

ASIC RELEASE  |  MONDAY, 31 MAY 2010
Opes Prime director Laurie Emini has been charged with 22 offences of breaching his duties, following investigations by ASIC into the company's collapse. Laurie (Lirim) Emini was charged with offences of breaching his duties as a director of Opes Prime ...

NSW man sentenced for early super release

ASIC RELEASE  |  TUESDAY, 30 MAR 2010
Another one bites the dust - SMSF trustee Atan Ona Kassongo joins the growing list of offenders caught unlawfully allowing early access to his super fund. Kassongo, of Castle Hill, New South Wales, has been sentenced to two years imprisonment, to be ...