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Showing 31 - 40 of 145 results for "Dishonest conduct"

Courtenay House affiliate faces prison

CHLOE WALKER  |  TUESDAY, 9 MAY 2023
... later, Iervasi pleaded guilty to five criminal charges related to the scheme and four offences of engaging in dishonest conduct between December 2010 and April 2017. In total, Iervasi tricked 585 investors out of $180 million. According to ASIC, Papoulias ...

Former AMP adviser pleads guilty to dishonest conduct

KARREN VERGARA  |  MONDAY, 27 MAR 2023
... falsified information when providing superannuation and insurance advice, has pleaded guilty to three charges of dishonest conduct and is due to be sentenced. David Fong, who operated Fong Financial Planners, pleaded guilty on March 24 at the Perth Magistrates ...

Former director hit with dishonesty charges

ANDREW MCKEAN  |  WEDNESDAY, 22 MAR 2023
ASIC has charged a former Reiwa-Capital director Russell Sandiford with dishonest conduct related to a financial product or service. Following an ASIC investigation into Sandiford and his company, Reiwa-Capital, the regulator alleged he obtained $459,489.70 ...

Adviser sentenced over accessing client accounts

CHLOE WALKER  |  FRIDAY, 3 FEB 2023
... person who carries on a financial services business while unauthorised to do so and one count of engaging in dishonest conduct in relation to a financial service. At the time of the conduct, Wertheimer was not licensed to provide financial advice. He ...

Former planner pleads guilty to dishonest conduct

CASSANDRA BALDINI  |  FRIDAY, 27 JAN 2023
A former Melbourne financial planner has pleaded guilty to three counts of engaging in dishonest conduct whilst running a financial services business. ASIC found that between February and March 2015, Bradley Grimm engaged in dishonest conduct on five ...

Former fund manager employee permanently banned

CHLOE WALKER  |  MONDAY, 9 JAN 2023
... Partners fund manager Andrew Jung-Woo Kim has been permanently banned by ASIC after being found to engage in dishonest conduct. Kim worked for Eight Investment Partners (Eight IP) on various dates between August 2018 to August 2021. Eight IP was the ...

Adviser imprisoned for super fraud

CHLOE WALKER  |  THURSDAY, 15 DEC 2022
... of deceit"and constituted "a significant breach of trust." Goel had earlier pleaded guilty to two charges of dishonest conduct, and his pleas were taken into account by the Judge when handing down sentence. The matter was prosecuted by the commonwealth ...

Former Courtenay House director pleads guilty

CASSANDRA BALDINI  |  WEDNESDAY, 9 NOV 2022
... pleaded guilty to five criminal charges, regarding the operation of the scheme, and four offences of engaging in dishonest conduct between December 2010 and April 2017. The Bondi-based companies, Courtenay House Trading Group Pty Ltd and Courtenay House ...

Former financial adviser pleads guilty

CASSANDRA BALDINI  |  TUESDAY, 20 SEP 2022
... financial services business while unauthorised to do so. He also pleaded guilty to one charge of engaging in dishonest conduct in relation to a financial service. Previously, Wertheimer was a financial adviser under his own company, John Wertheimer & ...

Convicted former financial adviser banned for life

CHLOE WALKER  |  TUESDAY, 9 AUG 2022
... operates a financial services business. The automatic ban follows Nesseim's conviction in May for engaging in dishonest conduct, for providing forged documents to ASIC and lying to ASIC when questioned about those documents. They included backdated wholesale ...