Whitebox Trading Pty Limited and Anor ats Australian Securities and Investments Commission (“ASIC”), Federal Court of Australia Proceedings No. NSD383/2016

Expert: M.J. Aitken w/ S. Ji ASIC brought proceedings in the Federal Court of Australia against Whitebox Trading Pty Limited and its sole director and principal, Johannes Boshoff, following an investigation into the spike on 18 October 2012 in the prices of securities...

Simon Poidevin v Australian Securities and Investments Commission Administrative Appeals Tribunal Proceeding – 2017/7111

Expert: M.J. Aitken w/ S. Ji, V. Mollica ASIC banned Mr Simon Poidevin, of Sydney, from providing financial services for five years following an ASIC investigation into trading in the shares of DirectMoney Ltd. Mr Poidevin, Managing Director of Corporate Broking at...

Australian Securities and Investment Commission v State One Stockbroking Federal Court Australia WAD540/2016

Experts:  M. G. Hains, M.J. Aitken, S. Ji ASIC brought civil penalty proceedings against State One Stockbroking Ltd (State One) in the Federal Court of Australia for failing to comply with two ASIC Market Integrity Rules (ASX Market) 2010 (MIRs), following State...

FMA v Mark Warminger, High Court of New Zealand, CIV-2015-404-001727 [2017] NZHC 1471

Expert:  M.J. Aitken w/ S. Ji Mr Warminger was accused by the FMA of ten counts of market manipulation in breach of section 11B of the Securities Markets Act 1988 (SMA). Professor Michael Aitken provided an expert wtiness report and “authoritative, compelling...