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Showing 41 - 50 of 156 results for "District Court"

Former adviser pleads guilty to theft, dishonesty

KANIKA SOOD  |  TUESDAY, 22 DEC 2020
... (formerly Nigel Flowers) pled guilty to one charge each of dishonesty and theft at Sydney's Downing Street District Court, in relation to advising clients on a failed IPO raise from which he redirected their funds. Following the guilty plea, he will ...

Pension plan sued for expensive, active strategy

KARREN VERGARA  |  WEDNESDAY, 2 DEC 2020
... defined contribution plans that are the primary form of retirement savings in the US. The lawsuit was filed in the district court in the western district of North Carolina by several law firms including Capozzi Adler and Shepherd Finkelman Miller & S ...

Former adviser pleads guilty to stealing client funds

ELIZA BAVIN  |  WEDNESDAY, 18 NOV 2020
... Local Court, where he pleaded guilty to 15 offences under the Corporations Act and was committed to the Sydney District Court for sentencing. The case against Hopkins alleged that between 14 October 2016 and 8 October 2019, Hopkins, the sole director ...

Westpac settles two class actions

KARREN VERGARA  |  FRIDAY, 30 OCT 2020
... laundering under the eyes of AUSTRAC on October 29. The law firm filed the class action in January this year at the US District Court for Oregon on behalf of investors who purchased Westpac shares between 11 November 2015 and 19 November 2019. The law ...

SMSF fraudster charged

ANNABELLE DICKSON  |  THURSDAY, 29 OCT 2020
A Brisbane man has been found guilty in the District Court of six counts of fraud in obtaining funds from SMSF investors. Craig Kirrin Gore was first arrested in April 2017 and charged with fraud after he obtained $800,000 from SMSF trustees between ...

Former analyst gets three year sentence

KANIKA SOOD  |  MONDAY, 14 SEP 2020
... intensive correction order (aka a sentence served in the community) after a sentencing from Sydney Downing Centre District Court. This includes a 50% discount to his sentence after he entered an early guilty plea in February and cooperated with ASIC ...

Fund manager charged with fraud

ALLY SELBY  |  FRIDAY, 4 SEP 2020
... anti-fraud provisions, with the regulator seeking both a permanent injunction and civil penalties in the federal district court in New York. Simultaneously, the US Attorney's Office for the Southern District of New York has announced it is pursuing criminal ...

Tax fraud goes from paradise to prison

ANNABELLE DICKSON  |  TUESDAY, 18 AUG 2020
... following a 19-year joint investigation by the ATO and Australian Federal Police. Philip Northam was sentenced in the District Court of Queensland due to his involvement in an intricate tax evasion scheme designed to strip Australian companies of their ...

Adviser guilty of misuse of client money

ELIZA BAVIN  |  THURSDAY, 14 MAY 2020
... maximum penalties of between 10 to 14 years' imprisonment. Dick's next appearance will be at the Townsville District Court, on a date yet to be set. ASIC noted Dick had shown cooperation with its investigation and early guilty plea. The matter ...

Fortescue seeks to hide pricing

ELIZA BAVIN  |  FRIDAY, 1 MAY 2020
... Court to disallow the publishing of the information. S&P hit back at the miner, filing its own action in the US District Court for the Southern District of New York. Fortescue asked the courts to ban Argus and S&P from reporting on and printing the discounts ...