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Showing 131 - 140 of 145 results for "Dishonest conduct"

Fund manager sentenced

MICHAEL HOBBS  |  MONDAY, 22 SEP 2008
... asserts Nathan used approximately $1 million of investors funds to gamble. He was charged with five counts of dishonest conduct and four counts of obtaining money via false and misleading statements while managing the fund. Nathan was sentenced to seven ...

Broker caught after $30m insurance scam

MICHAEL HOBBS  |  MONDAY, 14 APR 2008
New South Wales insurance broker Scot Weston has pleaded guilty to four charges of dishonest conduct. The Australian Securities and Investments Commission (ASIC) alleges Weston, employed as an insurance broker by Hirtes Insurance Brokers at the time ...

Adviser charged on $48k theft

RUTH LIEW  |  WEDNESDAY, 2 APR 2008
... of the Peter Braun, of Rose Bay, New South Wales, also pleaded guilty yesterday to six counts of engaging in dishonest conduct in relation to a financial product. ASIC alleged that between July 2005 and October 2006, Braun provided reports to six investors ...

ASIC calls for tighter employment checks

CHRIS NICHOLLS  |  FRIDAY, 12 OCT 2007
... together with industry, ASIC is encouraging all employers to share this type of information so that dubious or dishonest conduct does not go undetected and so that we maintain consumer confidence in the financial services industry. The release of the ...

Company directors arrested on theft charges

HAMISH MADDEN  |  MONDAY, 18 DEC 2006
... been charged with 48 offences, including 40 charges of theft, two of obtaining property by deception, two of dishonest conduct in relation financial products, the unlicensed carrying on of a financial services business and managing a company while disqualified. ...

NAB FX pair get six years

HAMISH MADDEN  |  WEDNESDAY, 5 JUL 2006
... Jeffrey Lucy, said the outcome was a clear signal that the courts would punish those employees who engaged in dishonest conduct to the detriment of the company and its shareholders. "This outcome demonstrates the serious consequences for company officers ...

NAB financial planner guilty of fraud

HAMISH MADDEN  |  TUESDAY, 30 MAY 2006
A former NAB financial planner has pleaded guilty to 13 criminal counts of dishonest conduct and fraud in the District Court of NSW. Paul Drakos, from the Central Coast in NSW, yesterday entered a guilty plea to eight counts of dishonestly obtaining ...

Two charged over dodgy building insurance

HAMISH MADDEN  |  FRIDAY, 26 MAY 2006
... Australian Financial Services license, making misleading statements in relation to financial products and engaging in dishonest conduct in relation to financial products. The men have been committed to stand trial in the Victorian County Court.

ASIC comes down on financial services fraud

... that anyone who entices people to invest in unlicensed investment schemes, and then engages in reckless and dishonest conduct to fraudulently take investors money for their own use, is brought before the Courts. As this case demonstrates, the consequences ...

Former NAB currency options trader jailed

... demonstrates that senior employees who hold positions of trust and responsibility will be held accountable for any dishonest conduct especially where both the employer and shareholders are deceived, significant jail sentences will be imposed by the court," ...