Saturday, 25 October 2008


More information about the crowd that Winstons legal henchmen hang around with.

This is from Kiwiblogs analysis of the Susan Couch Trust

which includes this

The settlor is Kevin Gillespie, an Auckland Accountant. Gillespie,
Henry and Gates are all
Directors of Goldman Henry Capital Management and in business
together. They
had some problems with the Securities Commission in 2004
incidentally, after the Commission found their prospectus did not comply with
securities law and omitted a material particular. The investment statement was
also found “likely to deceive, mislead, or confuse with regard to particulars
that are material to the offer of securities”.

We here at Roar prawn have uncovered a bit more to add to Kiwiblog working out that these boys did have some problems here in NZ - Mr Goldman has had a bit of bother on the other side of the Tasman as well .

This from the Australian Securities and investment Commission website

02/408 New Zealand director pleads guilty Wednesday 13 November 2002Mr Alan Goldman, sole director of the New Zealand company Mauer-Swisse Securities Limited (Mauer-Swisse), has pleaded guilty to four charges laid following an investigation by the Australian Securities and Investments Commission (ASIC).Mr Goldman was convicted and sentenced to a $1,000 personal recognisance bond to be of good behaviour for two years.On 9 August 2002, Mr Goldman was charged with two counts of providing a financial service in Australia, on behalf of Mauer-Swisse, when neither he nor his company were licensed to do so under Australian law. He was charged with two further counts on 12 November 2002.On Monday 11 November 2002, Mr Goldman was permanently restrained by Justice Barrett in the Supreme Court of New South Wales, from offering securities or carrying on a financial services business contrary to the Corporations Act 2001.Mr Goldman consented to the orders. Mauer-Swisse held a sharebroker’s licence in New Zealand and operated a financial services business. On 18 October 2002 the company was put into liquidation.BackgroundBetween April and July 2002, Mr Goldman provided financial product advice to Australian investors in relation to shares, including shares in a US-based company called Orbit E-Commerce Inc, or New Hilarity Inc.The investors purchased their shares in Orbit E-Commerce Inc or New Hilarity Inc through Dreyfus Securities Limited, a Bangkok-based company identified on ASIC’s consumer protection website at as a company involved in unlicensed overseas cold-calling.On 30 July 2002, ASIC obtained orders from the Supreme Court of New South Wales prohibiting Mr Goldman or Mauer-Swisse from sending property out of Australia, and restraining either party from carrying on a financial services business.Mr Goldman and Mauer-Swisse were also restrained from accepting documents of title or money relating to securities from Australian residents.ASIC acknowledges the co-operation of the New Zealand Securities Commission in this matter.

Really nice people - not.

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