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Showing 21 - 30 of 68 results for "Downing Centre Local Court"

Former adviser pleads guilty to stealing client funds

ELIZA BAVIN  |  WEDNESDAY, 18 NOV 2020
... 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 Court for sentencing. ...

Grow Super founder sentenced in betting scandal

ELIZABETH MCARTHUR  |  THURSDAY, 15 OCT 2020
... 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 that he ...

Grow Super founder pleads guilty

ELIZABETH MCARTHUR  |  FRIDAY, 18 SEP 2020
... 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 StatEdge and ...

Pershing convicted for client breaches

ANNABELLE DICKSON  |  THURSDAY, 6 AUG 2020
... 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 obligations ...

Sam Henderson in court over phantom degree

KANIKA SOOD  |  WEDNESDAY, 10 JUN 2020
... 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 Director ...

AFSL pleads guilty to mishandling client money

KANIKA SOOD  |  THURSDAY, 7 MAY 2020
... 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 a sentencing on ...

CommInsure cops $700k hawking fine

HARRISON WORLEY  |  THURSDAY, 28 NOV 2019
... penalty would have been $10,962,000. In handing down her sentence, Magistrate Atkinson of Sydney's Downing Centre Local Court said there was a "significant need for deterrence" and added those who market and sell insurance products "must ensure that ...

ASIC drags former adviser to court

HARRISON WORLEY  |  THURSDAY, 17 OCT 2019
... $1.865 million. The court adjourned the matter until December 17, when it will then be mentioned in the Downing Centre Local Court in Sydney. In January the Federal Court slammed Miller with a 25-year ban for advising SMSFs and other CFS Private Wealth ...

CommInsure charged over hawking

HARRISON WORLEY  |  FRIDAY, 4 OCT 2019
... breaches of anti-hawking provisions to ASIC." The case will be first mentioned on November 19 at the Downing Centre Local Court in Sydney. CommInsure was recently sold to Hong Kong-based insurance giant AIA, though delays in the deal's completion ...

ASIC bans adviser over super theft

ELIZABETH MCARTHUR  |  THURSDAY, 23 MAY 2019
... lodged by liquidators to make its decision to ban McSweeny. In December last year, McSweeny appeared in Downing Centre Local Court in Sydney facing 20 charges related to conduct while he was director of one of the 14 companies, Wealth Achievers. It was ...