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    • Closed cases
    • Market manipulation

    31 July 2017

    Mark Warminger

    The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014. The FMA alleges that MR Warminger’s conduct amounted to market manipulation in breach of s11B of the Securities Markets Act 1988.

    https://www.fma.govt.nz/news-and-resources/cases/warminger/

    • Closed cases
    • SMA
    • Finance company cases

    8 June 2015

    Dominion Finance Group and North South Finance

    Securities Commission alleged that the directors made false statements in the Dominion Finance Group registered prospectus dated 13 September 2007, as amended by an extension certificate 20 December 2007 and the North South Finance registered prospectus dated 11 September 2007, as amended by an extension certificate 20 December 2007. Read more.

    https://www.fma.govt.nz/news-and-resources/cases/dominion-finance-group-and-north-south-finance/