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Showing 61 - 70 of 150 results for "Dishonest conduct"

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 ...

Adviser charged with stealing super

ELIZABETH MCARTHUR  |  FRIDAY, 2 OCT 2020
... some of Australia's largest licensees could face 15 years in jail after being charged with four counts of dishonest conduct in relation to hardship superannuation requests. Rahul Goel is an authorised representative of Australian Financial Directions ...

Sam Henderson pleads guilty

ELIZABETH MCARTHUR  |  TUESDAY, 25 AUG 2020
Former celebrity financial adviser Sam Henderson has plead guilty to three charges of dishonest conduct. Henderson plead guilty to one "rolled up" charge of dishonest conduct along with two counts of making a disclosure document available to a person ...

Adviser jailed over $2m Ponzi scheme

JAMIE WILLIAMSON  |  TUESDAY, 4 AUG 2020
... Miller of Myocum, New South Wales was sentenced on July 31 after pleading guilty to six counts of engaging in dishonest conduct in the course of running a financial services business. He will be eligible for parole after serving four years. Miller was ...

ASIC quietly granted new access to phone taps

ELIZABETH MCARTHUR  |  THURSDAY, 11 JUN 2020
... financial services context - false or misleading statements (s1041E), inducing persons to deal (s1041F), and dishonest conduct (1041G)," the spokesperson said. In response to the passage of laws, law firm Ashurst provided an analysis in April. It clarified ...

Sam Henderson in court over phantom degree

KANIKA SOOD  |  WEDNESDAY, 10 JUN 2020
... case to the public prosecutor. ASIC this afternoon announced Henderson has been charged with three counts of dishonest conduct and two counts of knowingly giving a defective disclosure document. Henderson falsely claimed he had a master in commerce in ...