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Showing 21 - 30 of 150 results for "Dishonest conduct"

Former Courtenay House director sentenced

MATTHEW WAI  |  TUESDAY, 3 SEP 2024
... about $54 million. He pleaded guilty to the following charge s in November 2022: Four offences of engaging in dishonest conduct in relation to a financial product or financial service contrary to s1041G Corporations Act 2001 (Cth); An offence of carrying ...

Former BBY employee sentenced for 'dishonest conduct'

MATTHEW WAI  |  WEDNESDAY, 21 AUG 2024
Nine years on from its collapse, the former employee of stockbroking firm BBY has been sentenced to two years and six months after being convicted of aiding and abetting. ASIC alleged that Yat Nam (April) Yuen had facilitated the transfers of client ...

Adviser fakes exam certificate, cops ASIC ban

KARREN VERGARA  |  FRIDAY, 26 APR 2024
... employed at NAB as a business development manager, according to her LinkedIn profile. ASIC said Baaini engaged in "dishonest conduct and failed to act with integrity and sound judgment" and was "not a fit and proper person" with respect to working as ...

James Mawhinney arrested as Mayfair 101 saga rolls on

JAMIE WILLIAMSON  |  WEDNESDAY, 10 APR 2024
Mayfair 101's James Mawhinney was arrested yesterday and charged with engaging in dishonest conduct for allegedly claiming IPO Wealth Group owned companies that it did not. Mawhinney has been in a years-long battle with ASIC now, with the regulator ...

Former adviser slapped with 12 charges

KARREN VERGARA  |  WEDNESDAY, 3 APR 2024
A former financial adviser has been charged with 12 counts of dishonest conduct for falsifying clients' documents to access their superannuation accounts. The Downing Centre Local Court yesterday slapped the charges on David Mario Valvo while running ...

ASIC vigilant on bad SMSF advice

KARREN VERGARA  |  WEDNESDAY, 21 FEB 2024
... criminal charges. Sciacca named one example where a company director was sentenced to over four years in prison for dishonest conduct and other charges. The director encouraged investors to rollover their superannuation into newly created SMSFs and lend ...

Former director pleads guilty to hedge fund con

JAMIE WILLIAMSON  |  WEDNESDAY, 14 FEB 2024
... elsewhere and paying back just 1% of the total to investors. Russell Sandiford has pleaded guilty to two counts of dishonest conduct in relation to a financial product or service. He first appeared in court on the charges in March 2023, representing ...

Former director sentenced to over four years imprisonment

ANDREW MCKEAN  |  THURSDAY, 21 DEC 2023
... Naseeruddin has been sentenced to four years and four months in prison following his guilty plea to charges of dishonest conduct and failure to discharge duties in good faith. Naseeruddin goaded investors to rollover their superannuation monies into ...

Former adviser convicted over false documents

CHLOE WALKER  |  THURSDAY, 30 NOV 2023
... his practice Fong Financial Planners have been convicted and sentenced in a Perth court for three counts of dishonest conduct. Fong, who was an authorised representative of AMP Financial Planning between January 2004 to December 2014, was found to have ...

BBY manager charged with aiding and abetting

KARREN VERGARA  |  WEDNESDAY, 29 NOV 2023
ASIC charged another former employee of BBY with aiding and abetting the dishonest conduct of the stockbroking firm. ASIC alleges that Yat Nam (April) Yuen, who worked in roles such as manager of strategy, facilitated the transfer of large sums of client ...