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Showing 141 - 150 of 295 results for "Pty Ltd."

ASIC investigations lead to charges, interim orders

CLAIRE MCGREAL  |  TUESDAY, 15 NOV 2011
A Perth stockbroker has pleaded not guilty to more than 10 fraud charges, but guilty to a charge of dishonestly using his position as an employee at his former workplace. Jonathan Kur, who was an authorised representative for Hogan and Partners Stockbrokers ...

Adviser charged with fraud

ELISE BURGESS  |  THURSDAY, 10 NOV 2011
A former senior adviser at Sydney firm, Noall & Co, faced charges of fraud in court this week following an ASIC investigation. James Patrick Hobson, a senior financial adviser, faced Downing Centre Local Court for allegations that he defrauded four ...

ASIC bans authorised representative of Romad Financial Services

CLAIRE MCGREAL  |  TUESDAY, 8 NOV 2011
... he failed to comply with financial services laws. Deutsch was an authorised representative of Romad Financial Services Pty Ltd (RFS) and the Responsible Manager and Key Person of RFS's Australian financial services licence (AFS) since June 2004. An ASIC ...

SG High Court challenge lost

ELISE BURGESS  |  WEDNESDAY, 28 SEP 2011
A legal challenge that questioned whether the Superannuation Guarantee Charge Act was valid under the constitution has lost in the High Court of Australia. The case, Roy Morgan Research Pty Ltd v Commissioner of Taxation, ultimately found that the Superannuation ...

WA adviser receives jail sentence and reparations

RACHEL DAVIS  |  MONDAY, 5 SEP 2011
A Western Australian man has been sentenced to over three years in jail by the Perth District Court, in a case brought by ASIC. A reparation order of $1.7 million was also made. On 26 September 2008, ASIC suspended the Australian financial services ...

Adviser sentenced to 8yrs imprisonment

ELISE BURGESS  |  FRIDAY, 29 OCT 2010
A former financial adviser receives a jail sentence after pleading guilty to 13 fraud charges following an ASIC investigation. Neil Francis Dodd was sentenced to eight years imprisonment in Townsville's District Court after an ASIC investigation concluded ...

Great Southern investors target BABL

MEDIA RELEASE  |  MONDAY, 11 OCT 2010
Around 2,000 Great Southern investors launched a class action in the Federal Court to recover losses from bankers, including Bendigo and Adelaide Bank Limited (BABL), which lent them money to invest in the schemes. Investors have asked the Federal Court ...

ASIC reaches sixth Westpoint settlement

ASIC RELEASE  |  WEDNESDAY, 15 SEP 2010
ASIC has reached another Westpoint settlement, this time against Barzen Pty Ltd (formerly Dukes Financial Services) and Joseph Dukes for $1 million. The settlement is subject to the approval of the Federal Court. If approved by the court, the Dukes' ...

Westscheme appoints new chair

PRESS RELEASE  |  TUESDAY, 14 SEP 2010
Company director Eva Skira is the new chair of super fund Westscheme, after Dr. Paul Schapper, who held the position since 1998 retired this week. Skira has a background in banking and capital markets, having previously worked as a stockbroker and held ...

Market wrap - morning

AAP  |  TUESDAY, 7 SEP 2010
The Australian stock market is expected to open flat. US markets were closed overnight for a public holiday, while European markets finished firmer. At 0703 AEST on the Sydney Futures Exchange, the September share price index contract was down one point ...