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Showing 51 - 60 of 145 results for "Dishonest conduct"

Goldsky director charged

ELIZABETH MCARTHUR  |  TUESDAY, 13 APR 2021
The founder of Goldsky Investments has been charged with engaging in dishonest conduct and operating a financial services business without a licence. Kenneth Charles Grace was charged with eight counts of dishonest conduct and one of operating a financial ...

ASIC drops Caddick charges

ELIZABETH MCARTHUR  |  TUESDAY, 30 MAR 2021
... last year. The charges included 19 counts of pretending to have a financial services licence and 18 counts of dishonest conduct in relation to financial products or services. Caddick was also charged with not holding an Australian financial services ...

Dodgy SMSF operator loses appeal

ELIZABETH MCARTHUR  |  FRIDAY, 12 MAR 2021
... consequences for dishonesty. "The terminations imposed reflect the gravity of Mr Cross's and the partnership's dishonest conduct in lodging SMSF annual returns with false declarations over such a prolonged period," Klug said. Ten tax practitioners have ...

Former adviser charged over fabricated information

JAMIE WILLIAMSON  |  FRIDAY, 5 MAR 2021
... Planning. Nesseim appeared before Downing Centre Local Court on March 2, charged with 16 offences including dishonest conduct, fabricating evidence and providing false information to ASIC. He previously ran Smart Financial Strategies and is currently ...

ASIC extends olive branch to inside traders

KANIKA SOOD  |  WEDNESDAY, 24 FEB 2021
... ASIC is encouraging people to dob in others who worked with them on market manipulation, insider trading or dishonest conduct in financial services - in exchange for immunity. ASIC says it can offer such individuals immunity from civil proceedings, while ...

Director charged with dishonest conduct

ANNABELLE DICKSON  |  FRIDAY, 4 DEC 2020
The Melbourne Magistrates Court has charged a man with seven counts of dishonest conduct following a referral from the Australian Securities and Investments Commission (ASIC). In addition to the seven counts, Mudasir Mohammed Naseeruddin as also charged ...

SMSF fraudster sentenced

ELIZABETH MCARTHUR  |  FRIDAY, 27 NOV 2020
... would be punished accordingly. "ASIC will continue to pursue criminal cases of fraud to take action against dishonest conduct especially where savings for retirement are at risk," ASIC commissioner Sean Hughes said. Gore also faces three charges of acting ...

Former adviser pleads guilty to stealing client funds

ELIZA BAVIN  |  WEDNESDAY, 18 NOV 2020
... further alleged Hopkins made false representations about the nature of the unauthorised transfers to conceal his dishonest conduct and avoid detection. "Following ASIC's investigation, Hopkins was charged with dishonesty offences and then entered into ...

Former advisers face huge fines

ELIZABETH MCARTHUR  |  FRIDAY, 6 NOV 2020
... on 29 January 2021. Meanwhile, former financial adviser Mark Kawecki has been convicted and fined $30,000 for dishonest conduct in Melbourne. ASIC alleged that Kawecki cooked the books on a number of IPOs, making applications for shares which contained ...

Sam Henderson sentenced

ELIZABETH MCARTHUR  |  TUESDAY, 20 OCT 2020
Sam Henderson has been sentenced in the local court after pleading guilty to three charges of dishonest conduct. Henderson was fined a total of $10,000 and released without any jail time on the condition of good behaviour for two years. The former celebrity ...