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Showing 81 - 90 of 137 results for "Magistrate"

ASIC investigations lead to charges, interim orders

CLAIRE MCGREAL  |  TUESDAY, 15 NOV 2011
A Perth stockbroker has pleaded not guilty to more than 10 fraud charges, but guilty to a charge of dishonestly using his position as an employee at his former workplace. Jonathan Kur, who was an authorised representative for Hogan and Partners Stockbrokers ...

Former Sonray chief gets jail time following ASIC charges

CLAIRE MCGREAL  |  MONDAY, 17 OCT 2011
The former head of Sonray Capital Markets has been jailed for five years on 10 charges, which include false accounting involving fake deposits worth over $35 million. Scott Kenneth Murray, 33, of Werribee, Victoria will serve a minimum of two and a ...

ASIC bans adviser over deceptive conduct

RACHEL DAVIS  |  TUESDAY, 6 SEP 2011
A former Sydney-based financial adviser has been permanently banned from providing financial services after an ASIC investigation revealed he had engaged in misleading and deceptive conduct. James Edward Maurice Rowe was banned after ASIC found he had ...

ASIC warns of $15,000 EOFY countdown

ELISE BURGESS  |  MONDAY, 6 JUN 2011
The countdown to the end of financial year (EOFY) is on and a financial services regulator is warning the industry that it better have its ducks in a row in three weeks time or face hefty fines. The Australian Securities and Investments Commission (ASIC) ...

Tasmanian former adviser charged for no AFSL

MEDIA RELEASE  |  TUESDAY, 23 NOV 2010
John Vafiadis, previously of Hobart, has been charged for running an advice business without an Australian Financial Services license. Vafiadis appeared in the Hobart Magistrates' Court charged with two counts of carrying on a financial services business ...

Opes Prime director faces 22 charges

ASIC RELEASE  |  MONDAY, 31 MAY 2010
Opes Prime director Laurie Emini has been charged with 22 offences of breaching his duties, following investigations by ASIC into the company's collapse. Laurie (Lirim) Emini was charged with offences of breaching his duties as a director of Opes Prime ...

Chartwell director charged with $22m fraud

ASIC RELEASE  |  THURSDAY, 11 MAR 2010
Former Chartwell Enterprises director Graeme Hoy was committed to stand trial in the Supreme Court of Victoria on 224 charges brought by ASIC, including ripping $22 million off investors. In August 2009, Hoy was charged with two accounts of carrying ...

Opt out, bailed out

MICHELLE BALTAZAR AND RUTH LIEW  |  TUESDAY, 10 NOV 2009
The latest ruling against three people posing as "financial advisers" when they weren't licensed as advisers at all exposes the flaw in the current legislative regime where unlicensed professionals can operate outside strict compliance laws Marianna ...

Unregistered MIS operator arrested

COMPANY RELEASE  |  THURSDAY, 5 NOV 2009
The former director of Fuelbanc Australia and operator of an unregistered managed investment scheme, Stephen McDougall, was arrested yesterday after the court charged him with nine counts of dishonest use of his position as an officer of the company. ...

FBI hunts down bank fraudsters

RUTH LIEW  |  FRIDAY, 9 OCT 2009
... statement, those taken into custody in the United States will be afforded an initial appearance before United States Magistrate Judges in the district where they were arrested. Those arrested in and around Los Angeles had their initial appearance in ...

Editor's Choice

Invesco launches new equity fund

ELIZA BAVIN
Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA
The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA
A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI
Global X has now launched the space tech ETF (ASX: MOON).

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