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Showing 21 - 30 of 191 results for %22Public Prosecutions%22

Unlicensed investor pleads guilty to fraud charges

CHLOE WALKER  |  FRIDAY, 24 FEB 2023
... client within days of receipt of the funds. This matter is being prosecuted by the Commonwealth Director of Public Prosecutions following an investigation and referral by ASIC.

Financial Circle director convicted, fined

CHLOE WALKER  |  TUESDAY, 21 FEB 2023
... a maximum penalty of imprisonment for one year. The matter was prosecuted by the Commonwealth Director of Public Prosecutions after a brief and referral from ASIC.

Former Big Un chief charged with insider trading

CASSANDRA BALDINI  |  WEDNESDAY, 15 FEB 2023
... at the Downing Centre Local Court on 11 April 2023 and will be prosecuted by the Commonwealth Director of Public Prosecutions following a referral from ASIC. Last year, Big Un former auditor Graham Rothesay Swan also came under ASIC attention. Swan was ...

Mining company shares manipulator sentenced

JAMIE WILLIAMSON  |  TUESDAY, 7 FEB 2023
... paying $6000 and undertaking two years' good behaviour. The matter was referred to the Commonwealth Director of Public Prosecutions by ASIC. "The sentencing decision finalises our suite of actions in relation to the manipulation of Quantum shares in ...

Adviser sentenced over accessing client accounts

CHLOE WALKER  |  FRIDAY, 3 FEB 2023
... by Judge Gillan when handing down the sentence. The matter was prosecuted by the Commonwealth Director of Public Prosecutions after a referral from ASIC.

Former planner pleads guilty to dishonest conduct

CASSANDRA BALDINI  |  FRIDAY, 27 JAN 2023
... he was banned from providing financial services by order of the Federal Court. The Commonwealth Director of Public Prosecutions is prosecuting the matter after a brief was referred by ASIC. It will be listed in the Victorian County Court in April for ...

Adviser who faked signatures sentenced in court

CHLOE WALKER  |  MONDAY, 16 JAN 2023
... was officially charged on June 24 of last year. The matter was prosecuted by the Commonwealth Director of Public Prosecutions after a brief and referral from ASIC.

Adviser imprisoned for super fraud

CHLOE WALKER  |  THURSDAY, 15 DEC 2022
... account by the Judge when handing down sentence. The matter was prosecuted by the commonwealth director of public prosecutions.

Former Statewide Super executives charged

ANDREW MCKEAN  |  MONDAY, 12 DEC 2022
... (b) of the Corporations Act. The matter has been adjourned to 28 February 2023. The Commonwealth director of public prosecutions is prosecuting the matter following an ASIC referral. Meanwhile, as previously reported by Financial Standard, earlier this ...

Former financial adviser charged with fraud

CASSANDRA BALDINI  |  WEDNESDAY, 7 DEC 2022
... used the false documents and that his offending had a degree of sophistication. The Commonwealth Director of Public Prosecutions prosecuted the matter after a referral from ASIC.