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.Â
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.
A fourth financial services licensee has been pulled up in less than a month relating to financial reporting, as ASIC chair Joe Longo updates on its corporate regulator’s enforcement action at the end of Q3.