Legal
Australian Watchdog Files Forgery Charges Against Former Advisor
The matter was adjourned for a plea hearing in the Melbourne Magistrates' Court on 26 October 2017.
Australia's main regulator has filed charges against a former
Victoria-based advisor accusing him of forging 22 “change of
advisor” forms on behalf of unknowing clients so he could receive
additional fees.
Shane Thompson appeared in the Bendigo Magistrates' Court on two
charges brought by the
Australian Securities and Investments Commission.
The regulator alleged that Thompson, between 27 December 2012 and
1 March 2013, completed 22 false change of advisor forms and
submitted them to MLC to transfer to National Australia Bank.
Thompson allegedly forger clients' signatures on each form and
did this without clients' knowledge or authorisation so he could
receive additional planning fees from his employer,
NAB.
The matter was adjourned for a plea hearing in the Melbourne
Magistrates' Court on 26 October 2017.
The Commonwealth Director of Public Prosecutions is prosecuting
the case.
