GUILTY

Financial planning

Wael Kourieh pleaded guilty to forging 30 member signatures on AMP superannuation investment election forms which would let him obtain financial advantage for himself via...

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Financial planning

Ahmed Saad has pleaded guilty after operating a scheme to provide illegal early access to super for clients. ...

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Financial planning

The firm has pleaded guilty to four counts of client money breaches, each carrying a maximum penalty of $45,000....

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Financial planning

Pershing Securities Australia is the first company in the country to face criminal prosecution for breaching client money provisions....

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Financial planning

Mark Damion Kawecki has pleaded guilty to two counts of dishonest conduct relating to meeting the minimum spread requirement to be listed on the Australian Securities Exc...

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SMSF

George Nowak has pleaded guilty after investigations found he had misappropriated $1.2 million in self-managed superannuation fund monies. ...

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MARKET INSIGHTS

So we are now underwriting criminal scams?...

4 months 1 week ago

Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...

4 months 2 weeks ago

Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...

6 months 2 weeks ago

Commonwealth Bank has formally dropped to zero advisers following LGT Crestone’s acquisition of its advice arm – some six years on from the Hayne royal commission. ...

1 week 3 days ago

ASIC has banned a former NSW adviser from providing advice for 10 years for investing at least $14.8 million into a cryptocurrency-based scam. ...

4 days ago

ASIC has cancelled the AFSL of an advice firm associated with Shield and First Guardian collapses, and permanently banned its responsible manager. ...

2 days 21 hours ago