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Showing 1 - 10 of 17 results for "Sydney District Court"

BitConnect promoter pleads guilty

KARREN VERGARA  |  MONDAY, 20 MAY 2024
... product known as the Lending Platform on social media and seminars across the country. Bigatton faced the Sydney District Court on May 16 and admitted to providing unlicensed financial services on behalf of another person contrary to section 911B (1) ...

Third person pleads guilty in Courtenay House Ponzi scheme

ANDREW MCKEAN  |  WEDNESDAY, 20 MAR 2024
... April 22 and April 24 in the Supreme Court of NSW. Following his guilty plea, Sipina was committed to the Sydney District Court for sentencing. His first appearance before that Court will be on April 19. On 21 February 2023, Sipina was charged with carrying ...

Former adviser pleads guilty to fabricating evidence

ANNABELLE DICKSON  |  THURSDAY, 18 NOV 2021
... in a hearing before an ASIC delegate. He has been granted conditional bail and has been committed to the Sydney District Court for sentencing on December 10. Nesseim was permanently banned from providing financial services in 2018 and later banned from ...

Former adviser pleads guilty to theft, dishonesty

KANIKA SOOD  |  TUESDAY, 22 DEC 2020
... failed IPO raise from which he redirected their funds. Following the guilty plea, he will be sentenced in Sydney District Court on 20 April 2021. Flowers was the director of Flowers Financial Group Pty Ltd and Flowers Financial Management, both of which ...

Former adviser pleads guilty to stealing client funds

ELIZA BAVIN  |  WEDNESDAY, 18 NOV 2020
... Local Court, where he pleaded guilty to 15 offences under the Corporations Act and was committed to the Sydney District Court for sentencing. The case against Hopkins alleged that between 14 October 2016 and 8 October 2019, Hopkins, the sole director ...

Wealthsure adviser guilty to criminal charges

LAURA MILLAN  |  WEDNESDAY, 21 AUG 2013
... charges following an Australian Securities and Investments Commission (ASIC) investigation. Appearing in the Sydney District Court, Brian William Veitch, formerly of Minto, New South Wales, pleaded guilty to 22 counts of using a false instrument. Veitch ...

Former Bell Potter adviser sentenced to 5 years jail

LAURA MILLAN  |  THURSDAY, 23 MAY 2013
... the money as agreed with his clients between September 2002 and October 2008. Evans pleaded guilty in the Sydney District Court to 10 counts of misappropriating funds and five further counts were also considered in sentencing. ASIC's concerns arose from ...

Former mortgage broker convicted

MARK STORY  |  FRIDAY, 25 JAN 2013
... with ASIC's investigation, good character, history and remorse for acting dishonestly in this case, the Sydney District Court imposed a two-year good behaviour bond on Mr Nguyen. ASIC Commissioner Peter Kell said brokers must familiarise themselves with ...

Financial adviser sentenced on fraud charges

LINDA HAUSKEN  |  WEDNESDAY, 23 MAY 2012
... Patrick Hobson, a former senior financial adviser has been convicted and sentenced on fraud charges in the Sydney District Court, following an ASIC investigation. Hobson was a senior financial adviser employed by Binma which operates the North Sydney ...

Unlicensed adviser charged

MICHAEL HOBBS  |  MONDAY, 4 AUG 2008
... after an Australian Securities and Investment Commission (ASIC) investigation. Tivay was convicted in the Sydney District Court following an ASIC inquiry that found he provided financial services on behalf of Progressive Investments Securities (PIS) ...
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