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Showing 61 - 70 of 145 results for "Dishonest conduct"

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 ...

ASIC drags former adviser to court

HARRISON WORLEY  |  THURSDAY, 17 OCT 2019
... Lismore Local Court on Wednesday, as the former CFS Private Wealth director faced 12 charges of engaging in dishonest conduct in the course of carrying on a financial services business, a contravention of the Corporations Act 2001. According to ASIC ...

Former financial adviser charged

HARRISON WORLEY  |  TUESDAY, 13 AUG 2019
... adviser who was banned from providing financial services by ASIC in 2018 has been charged with five counts of dishonest conduct. Mark Damion Kawecki has been charged for allegedly using false or misleading information in applications for shares in companies ...

Former adviser cops 10-year prison sentence

JAMIE WILLIAMSON  |  MONDAY, 18 MAR 2019
... using more than $6 million in client funds for his own purposes. Gabriel Nakhl was found guilty of engaging in dishonest conduct and sentenced to 10 years' imprisonment by the District Court of New South Wales. He was convicted on eight charges brought ...

ASIC bans former NAB, CBA advisers

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... Synchron adviser was handed a five-year ban. Tai Thanh Nguyen of Adelaide was permanently banned by ASIC for dishonest conduct while licensed by GWM Adviser Services and later Interprac Financial Planning. An investigation found Nguyen, a Certified Financial ...

Former adviser charged over super theft

JAMIE WILLIAMSON  |  WEDNESDAY, 19 DEC 2018
... use. Daniel McSweeny appeared in Downing Centre Local Court in Sydney this week facing 20 charges relating to dishonest conduct while he was director of Wealth Achievers. It is alleged McSweeny transferred client funds - mostly retirement savings - into ...