Kristofer Ridgway, who scammed clients and pocketed more than $1.5 million in secret commissions, has been released on bail by a Queensland magistrate and will return to court in February.
A former Brisbane financial adviser, who was permanently banned by ASIC in April, has appeared in court charged with two counts of providing false or misleading information to the regulator.
A former Shaw and Partners financial adviser was charged with two counts of providing false or misleading information to ASIC during the regulator s investigation into his misconduct.
The last three months have seen at least three high-profile court cases involving adviser misconduct, keeping the corporate regulator on its toes to wrap up a busy quarter.