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Showing 31 - 40 of 142 results for "Magistrate"

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.

Former adviser charged over faked books

CHLOE WALKER  |  TUESDAY, 28 JUN 2022
A former financial adviser has been charged with seven counts of alleged falsification of company books following an ASIC investigation. ASIC alleged that between February 2010 and December 2018, Tai Thanh Nguyen of Interprac Financial Planning falsified ...

Corporate advisor charged over $2m theft

CASSANDRA BALDINI  |  WEDNESDAY, 22 JUN 2022
... has been charged after allegedly stealing almost $2 million from his clients. Last Friday, Torre appeared in Perth Magistrate Court and was charged with eight counts of fraud and five counts of stealing pursuant following an ASIC investigation. The corporate ...

Barred adviser breaches ASIC order

ANDREW MCKEAN  |  MONDAY, 20 JUN 2022
... on. ASIC also stated that he failed to understand what was required of him to comply with the best interest duty. A Magistrate's Court ruling disqualified Toledo until 5 September 2024; however it has since come to light that he continued to provide ...

Cryptocurrency lender Helio charged for false credit licence claims

ANDREW MCKEAN  |  FRIDAY, 8 APR 2022
... holder nor a representative of an ACL holder. The matter is next listed for mention on 7 July 2022 in the Melbourne Magistrate's Court. In a release, ASIC said that ACLs are required to undertake credit activity and that strict penalties can apply to ...

Border rule-breaking former adviser banned

JAMIE WILLIAMSON  |  TUESDAY, 5 APR 2022
Mark Babbage, the financial adviser who was jailed last year for breaching Western Australia's tough border restrictions to attend the AFL Grand Final, has been banned from providing advice for 10 years. Babbage was arrested by Western Australia police ...