Past Cases

  • FMA v Mark Warminger (market manipulation, New Zealand, 2016)
  • DPP v Oliver Curtis (insider trading, Australia, 2016)
  • Public Prosecutor v Low Thiam Hock (market manipulation, Malaysia, 2016)
  • FMA v Milford Asset Management (market manipulation, NZ, 2015)
  • ASIC v Philip Vernon Brian King ( misuse of confidential client information, Australia, 2015)
  • Ipay Express Pty Ltd  & Ors v Macquarie Equities Ltd (market manipulation, Australia, 2015)
  • Andrew Grant-Taylor v Babcock & Brown Limited (in liquidation) & Others (disclosure, Australia, 2015)
  • Yieldbroker (surveillance for OTC interest rate securities and derivatives, Australia, 2014)
  • FCA vs Da Vinci Invest, Mineworld & al. (market manipulation, layering and orderbook manipulation, 2015, UK)
  • DPP vs Mansfield (compensation issues, settled out of court, 2015, Australia)
  • ASIC vs Rhinomed (disclosure, 2015, Australia)
  • Brian Henry (market manipulation, wash trades, New Zealand, 2014)
  • Daniel Joffe (insider trading, CFDs, 2014)
  • Nathan Stromer (insider trading, CFDs, 2014)
  • Inabu Pty Ltd v Leighton Holdings Limited (event study, continuous disclosure, 2014)
  • Modtech Engineering Pty Limited v GPT Management Holdings Limited (event study, continuous disclosure, 2013)
  • Australian Pipelines Ltd v Hastings Management Ltd (event study, 2012)
  • Foresight Committee: Future of Computer in Financial Markets, High Frequency Trading – Assessing the Impact on Market Efficiency and Market Integrity, United Kingdom, March 2012.
  • Capital Markets Authority of Kuwait, Seminar on Market Surveillance (2012, Kuwait)
  • Kirby v Centro Properties Limited &, (event study, continuous disclosure, 2011)
  • David Kenneth Michaels (insider trading, 2011)
  • Rick Klusman (market manipulation and front-running, 2011)
  • Lance Rosenberg v ASIC (market manipulation, 2010, Australia)
  • XQZT v ASIC - AAT proceeding 2009/3619 (trade cancellation, 2010)
  • ASIC, A Study of Abnormal Price Movements on the ASX for determining the positioning of Circuit Breakers. (2010)
  • Transmarket Trading Pty Ltd, Kestrel Trading Pty Limited and Biskra Aotearoa Limited v. Sydney Futures Exchange Limited (event study, trade halt, 2009)
  • Challenger Managed Investments Limited & Anor v Octaviar Limited & Ors, (event study,  exercising convertible notes, 2008)
  • First Pacific Capital Underwriters v CCI Holdings Ltd (valuation issues, 2007)
  • Andrew Taylor v Telstra Corporation Limited. Federal Court of Australia (continuous disclosure, 2007)
  • LSE and Plus Markets (competition issues, settled out of court, 2007, United Kingdom)
  • Chemeq Ltd v ASIC (event study, breach of continuous disclosure, 2006)
  • Richard James Frawley (insider trading, 2004)
  • Adam Tomas and Leon Siakos v Macfutures Australia, Macfutures Limited (2004)
  • Derbyshire, Le Marrec & Ors v Ord Minnett Ltd, Ord Minnet Management Ltd, performance Plus Funds Management Ltd (In Liquiditation) & Ors. (2003) Susquehanna Pacific Pty Ltd (market manipulation, 2001)
  • Rodney Stephen Adler (market manipulation, 2002)
  • Nomura Securities (market manipulation, 2001)
  • GIO v AMP (alleged deceptive conduct)
  • NAB v Idoport (information technology, misappropriation)
  • OAMPS v Porter (valuation issues)
  • Anderson v CSR & Anor. Dust and Diseases Tribunal (event study, 2001)
  • Simon Hannes (insider trading, involving allegations that the defendant traded in derivatives prior to a market announcement of sensitive information, 2001)
  • Kenneth John Firns (insider trading, 1999)
  • Peter Ness (market manipulation, 1998)
  • Nomura Securities (involving allegations of manipulation of the price of a market index, 1996)

Capital Markets CRC Limited,
Level 3, 55 Harrington Street, Sydney NSW 2000, Australia.
t. 61 (2) 8088 4200
email: admin@cmcrc.com