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Showing 1 - 5 of 5 results for "Kristofer Ridgway"

Former adviser misled ASIC during investigation: Court

KARREN VERGARA  |  MONDAY, 18 DEC 2023
... providing false or misleading information to ASIC during the regulator's investigation into his misconduct. Kristofer Ridgway allegedly provided false information during ASIC's investigation into his role in recommending unlisted McFaddens Securities ...

Financial services firms hit with criminal charges

CHLOE WALKER  |  TUESDAY, 31 OCT 2023
... to potential investors while serving as a director. Sutton was also involved in and facilitated misconduct by Kristofer Ridgway, a former financial adviser that ASIC said was not "adequately trained" or "competent" to provide financial services. He suggested ...

ASIC permanently bans David Sutton

ANDREW MCKEAN  |  TUESDAY, 4 JUL 2023
... directorships of Paltar Petroleum and Aus Streaming. Sutton was also involved in and facilitated misconduct by Kristofer Ridgway, a former financial adviser that ASIC said was not "adequately trained" or "competent" to provide financial services. He ...

Banned adviser told to stay put

CHLOE WALKER  |  FRIDAY, 16 JUN 2023
Having already permanently banned former Shaw and Partners senior adviser Kristofer Ridgway, ASIC has now made sure he cannot leave or attempt to leave Australia. Interim travel restraint orders were made on June 11 following the regulator's application. ...

Former Shaw and Partners adviser banned

JAMIE WILLIAMSON  |  THURSDAY, 13 APR 2023
... that found he, among other things, accepted unlawful commissions and didn't disclose others. Brisbane-based Kristofer Ridgway cannot have any involvement in financial services again following ASIC's determination, with the regulator saying he ...
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