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Showing 71 - 80 of 137 results for "Magistrate"

Adviser forced to pay back $684,000

LAURA MILLAN  |  THURSDAY, 28 NOV 2013
A former financial adviser has been forced to pay back $684,000 to five clients after he was convicted for providing inappropriate advice. Kevin Maxwell George Whitting recommended his clients to invest the money in the Blue Diamond Deposits Trust No. ...

Company director charged with QLD property fraud

JAMES FERNYHOUGH  |  WEDNESDAY, 19 JUN 2013
Company director Steven William Hill has appeared in the Bathurst Magistrates Court facing eight counts of fraudulent misappropriation, following an investigation by the Australian Securities and Investments Commission (ASIC). Hill, of Hill Stephens ...

ASIC charges former financial adviser

LAURA MILLAN  |  FRIDAY, 12 APR 2013
The Australian Securities and Investments Commission (ASIC) has charged a former financial adviser for failing to provide appropriate advice to clients. Kevin Maxwell George Whitting, of Rosebud, Victoria, provided inappropriate advice to five investors ...

Former Lonsec MD pleads guilty to insider trading

LAURA MILLAN  |  MONDAY, 4 MAR 2013
Former managing director of stockbroking firm Lonsec Norman John Graham pleaded guilty to two charges of insider trading, the Australian Securities and Investments Comission (ASIC) announced on Friday. The charges relate to an order that Graham placed ...

Insurance broker pleads guilty to theft

MARK SMITH  |  TUESDAY, 5 FEB 2013
Insurance broker Bruce Wickett pleaded guilty to stealing close to $700,000 of clients' money over a seven month period. Wickett of Frankston, Victoria, appeared in the Melbourne Magistrates Court charged with three counts of theft totalling $662,198.39 ...

Adelaide adviser facing sentence

LINDA HAUSKEN  |  MONDAY, 10 SEP 2012
Former Adelaide adviser Robert Owen Bean has appeared in court on 52 charges of engaging in dishonest conduct including accusations of misappropriating over $3.1 million of client funds. In May 2011, the corporate watchdog permanently banned Bean from ...

Former investment company director pleads guilty

MELANIE TIMBRELL  |  MONDAY, 23 JUL 2012
Former Queensland-based director of the purported investment company Tanoak Pty Ltd, Tania Michele Oakley has pleaded guilty to three criminal charges following an ASIC investigation. ASIC alleged that between March 6, 2007 and April 16, 2007, Oakley ...

Former Lonsec director charged with insider trading

BEN COLLINS  |  THURSDAY, 7 JUN 2012
Norman Graham, former managing director of stockbroking and research firm, Lonsec, has appeared in the Magistrates' Court of Victoria charged with 14 counts of insider trading, following an ASIC investigation. The Australian Securities & Investments ...

ASIC bans adviser following fraud conviction

BEN COLLINS  |  TUESDAY, 24 APR 2012
The Australian Securities & Investments Commission has permanently banned Christos Papaioannou, also known as Chris Pappas, from providing financial services following his conviction on fraud charges in the Magistrates Court of Victoria. On 29 March ...

Accountant charged with 37 offences

ELISE BURGESS  |  THURSDAY, 15 DEC 2011
Victorian accountant and LGH Holdings director, Mark Ronald Letten, is facing 37 charges including 21 counts of operating unregistered managed investment schemes and deception charges involving $1.4 million. Appearing before the Melbourne Magistrates' ...