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Showing 21 - 30 of 137 results for "Magistrate"

Advice group convicted of hawking

JAMIE WILLIAMSON  |  WEDNESDAY, 22 FEB 2023
National Advice Solutions was convicted in a Queensland court for cold-calling consumers and trying to convince them to switch their super fund, copping a $70,000 fine. National Advice Solutions' AFSL was cancelled in December and its two responsible ...

Financial Circle director convicted, fined

CHLOE WALKER  |  TUESDAY, 21 FEB 2023
A director of the now defunct financial services firm has been convicted of managing a corporation and fined $6000. Joshua David Fuoco pleaded guilty to the charges in the Melbourne Magistrates Court. The charge arose from an ASIC investigation that ...

Adviser who faked signatures sentenced in court

CHLOE WALKER  |  MONDAY, 16 JAN 2023
... he was an authorised representative of GWM Adviser Services and Interprac Financial Planning. In sentencing Nguyen, Magistrate Nitschke said: "It is a serious matter to falsify company records" and "the company records...must reflect accurately the truth ...

Former Statewide Super executives charged

ANDREW MCKEAN  |  MONDAY, 12 DEC 2022
Two former senior Statewide Superannuation executives have appeared before the Adelaide Magistrates' Court charged with dishonesty offences. The offences relate to the former Statewide Super executive's procurement of services between February ...

Former financial adviser charged with fraud

CASSANDRA BALDINI  |  WEDNESDAY, 7 DEC 2022
... knowledge or authority of the 14 owners of the shares. He was sentenced to a 12-month community corrections order. Magistrate Covington remarked upon sentencing that Howard was in a position of trust as a financial planner when he used the false documents ...

Former financial adviser pleads guilty

CASSANDRA BALDINI  |  TUESDAY, 20 SEP 2022
Former financial adviser John Wertheimer pleaded guilty to charges surrounding unauthorised client transactions in Perth Magistrates Court. Wertheimer pleaded guilty to one charge of providing a financial service on behalf of a person who carries on ...

Charges laid against former BBY head of operations

CASSANDRA BALDINI  |  TUESDAY, 13 SEP 2022
Former BBY Limited head of operations Fiona Mae Bilton has been charged with three counts of dishonestly obtaining a financial advantage. Bilton was found to have deceived St George Bank on 115 separate occasions between June 2013 and May 2015. The ...

Unlicensed forex trader extradited from Poland

CHLOE WALKER  |  FRIDAY, 19 AUG 2022
... fled to Poland on 8 May 2018. Following an application by ASIC, a warrant for his arrest was issued by a Queensland magistrate in December 2020, and he was arrested in November 2021. Subsequently, the Polish government granted his extradition in July ...

Fraud charges laid over unlicensed scheme

CASSANDRA BALDINI  |  WEDNESDAY, 20 JUL 2022
Former Perth unlicensed investment scheme boss Chris Marco has been charged with 50 counts of fraud and is due to appear in Perth Magistrates Court on Friday. The charges follow ASIC's investigation which alleged that, between July 2013 and October ...

Victorian AR charged with providing unlicensed advice

CASSANDRA BALDINI  |  WEDNESDAY, 13 JUL 2022
... Public Prosecutions after an investigation and referral by ASIC. It will be next listed for mention on October 4 in the Magistrate's Court of Victoria.