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Showing 21 - 30 of 79 results for "Downing Centre"

ASIC drops Caddick charges

ELIZABETH MCARTHUR  |  TUESDAY, 30 MAR 2021
... also charged with not holding an Australian financial services licence when she was required to. On March 30 at Downing Centre Local Court in Sydney, ASIC withdrew all these charges. The news comes after police confirmed that a running shoe containing ...

Former adviser charged over fabricated information

JAMIE WILLIAMSON  |  FRIDAY, 5 MAR 2021
... Private Wealth and finally an authorised representative of Libertas Financial Planning. Nesseim appeared before Downing Centre Local Court on March 2, charged with 16 offences including dishonest conduct, fabricating evidence and providing false information ...

Former adviser pleads guilty to stealing client funds

ELIZA BAVIN  |  WEDNESDAY, 18 NOV 2020
... client funds by transferring the money to his own accounts for personal use. Ross Hopkins from NSW, appeared at the Downing Centre Local Court, where he pleaded guilty to 15 offences under the Corporations Act and was committed to the Sydney District ...

Grow Super founder sentenced in betting scandal

ELIZABETH MCARTHUR  |  THURSDAY, 15 OCT 2020
... after pleading guilty to gambling with insider information. Appearing yesterday, Joshua Wilson was sentenced in Downing Centre Local Court to 18 months good behaviour. He was not fined or given a custodial sentence, instead released on the condition ...

Grow Super founder pleads guilty

ELIZABETH MCARTHUR  |  FRIDAY, 18 SEP 2020
... Trevisiol were charged with using insider information to bet on the 2019 Dally M Awards. They both plead guilty at Downing Centre Local Court today. Alongside his role at Grow, Wilson was chief executive and founder of start-up sports technology company ...

Former analyst gets three year sentence

KANIKA SOOD  |  MONDAY, 14 SEP 2020
... years via an intensive correction order (aka a sentence served in the community) after a sentencing from Sydney Downing Centre District Court. This includes a 50% discount to his sentence after he entered an early guilty plea in February and cooperated ...

Pershing convicted for client breaches

ANNABELLE DICKSON  |  THURSDAY, 6 AUG 2020
... criminally prosecuted over breaching client money obligations. The BNY Mellon subsidiary pleaded guilty in Sydney's Downing Centre Local Court and was ordered to pay a $40,000 penalty. ASIC alleged that the company failed to comply with client money ...

Sam Henderson in court over phantom degree

KANIKA SOOD  |  WEDNESDAY, 10 JUN 2020
... representation that he held a Master of Commerce (Financial Planning)," ASIC said. The charges were mentioned at the Downing Centre Local Court yesterday. Henderson did not enter a guilty plea and the matter will be next heard on August 4. The Commonwealth ...

AFSL pleads guilty to mishandling client money

KANIKA SOOD  |  THURSDAY, 7 MAY 2020
... mishandling client monies, and has pleaded guilty. Pershing Securities Australia Pty Ltd (PSAL) pleaded guilty at the Downing Centre Local Court in Sydney to mishandling client monies after ASIC laid charges following an investigation. Pershing now faces ...

Industry veteran arrested

ELIZABETH MCARTHUR  |  WEDNESDAY, 18 DEC 2019
... of his bail stipulate that he will continue living at his Point Piper mansion. He is expected to appear before Downing Centre Court on 2 February 2020. Brierley founded Brierley Investments and was chair of Guinness Peat Group before taking the helm ...