R v Ng
[2013] VCC 1875
•25 November 2013
| IN THE COUNTY COURT OF VICTORIA | Revised Not Restricted Suitable for Publication |
AT MELBOURNE
CRIMINAL DIVISION
Case No. CR-13-00957
| DIRECTOR OF PUBLIC PROSECUTIONS |
| v |
| RODNEY NG |
---
JUDGE: | Her Honour Judge Cotterell | |
WHERE HELD: | Melbourne | |
DATE OF HEARING: | 31 October 2013, 13 & 21 November 2013, | |
DATE OF SENTENCE: | 25 November 2013 | |
CASE MAY BE CITED AS: | R v Ng | |
MEDIUM NEUTRAL CITATION: | [2013] VCC 1875 | |
REASONS FOR SENTENCE
---
Subject:
Catchwords:
Legislation Cited:
Cases Cited:
Sentence:
---
APPEARANCES: | Counsel | Solicitors |
| For the DPP | Ms F Skepper | Office of Public Prosecutions |
| For the Accused | Ms C Collier | Doogue O’Brien George |
HER HONOUR:
1 Rodney Ng, you have pleaded guilty before me to one charge of making a false document. The maximum penalty for that offence is ten years’ imprisonment.
2 You have also pleaded guilty to two charges of using a false document, the maximum penalty for that offence is also ten years’ imprisonment. Finally, you have also pleaded guilty to six charges of obtaining property by deception and to one charge of obtaining a financial advantage by deception. These two offences also carry a maximum of ten years’ imprisonment.
3 Counsel for the prosecution opened the facts of this matter and a summary of the prosecution opening is appended to these sentencing remarks. In brief, you were employed by Computershare Investor Services Proprietary Limited and through that employment, had access to details of security holders, including names, addresses and bank account details. You also had computer access to shareholder accounts and a specific ID login and password to enable you to access the computer network.
4 You identified a number of shareholders who had been categorised as lost shareholders, due to their non-response to mail sent to them and you completed off market share transfers in relation to the holdings of various loss shareholders, transferring the shares into your own name or into the names of your deceased father and your mother, or other fictitious persons.
5 Shares that were actually transferred to your name or to the names of your relatives or fictitious persons had a total value of $16,220.66. You also had attempted to have nine lots of shares transferred to you which were valued at $960,112.60. These transfer applications were declined by Computershare because you had not complied with the security requirements for larger transfers. This is serious offending and involves a gross breach of trust on your part, by exploiting the privileges of your employment with Computershare whose operations involve the national and international trading of shares and the registration of share ownership, which all play an important role in the national economy.
6 I accept the submission of counsel for the Director of Public Prosecutions, as to the importance of general deterrence in sentencing in offending of this type. The acts carried out by you as a trusted employee with access to privileged material, attack the security of the operation of the share market and share transactions in this country and indeed, others must be deterred from using such positions of trust to further their own ends.
7 However, in mitigation on your behalf, it was submitted by your counsel that both the motivation and the explanation for your behaviour derived from the mental illness from which you were suffering at the time. A report from Dr Andrew Carroll, tendered as Exhibit 2 on the plea, and dated 9 August 2013, indicates and confirms that you suffer from aspergers disorder, which was assessed in 2011 by Dr Marged Goode. Dr Carroll indicates that the disorder was evident clinically apart from that assessment, during interviews with you and the assessment by Dr Carroll of written material provided to him confirmed that.
8 You have difficulties with social communication and relationships as a result of this condition. In his opinion, Dr Carroll does not attribute your offending to the aspergers disorder directly, but says that the mental illness from which you were suffering at the time of the offending, being a depressive disorder with psychotic features, combined with the impairments due to the aspergers disorder, significantly impaired your ability to exercise appropriate judgment and make calm and rational choices. Had you not suffered from the illness and the disorder in combination, the realisation that you were most probably going to be caught by the security systems in place at Computershare and your own knowledge that the behaviour was illegal, would have prevented you from carrying out your actions.
9 In his opinion, Dr Carroll says you were not able to fully appreciate the wrongfulness of your conduct which occurred in a very stressful period for you, which included difficulties with your employment, the increase and the extensive hours you were required to travel to work and the death of your father in January 2011 in very distressing circumstances, as a result of Parkinson's disease and dementia. In additional to those personal stressors, two natural diasters being the floods in Queensland in December 2010, and the earthquake in Japan resulting in a Tsunami and the effects on the nuclear plant in Japan in March 2011, led you to have feelings of impending doom, both for yourself and for the world.
10 You suffered from insomnia and a sense of powerlessness. In this overall context, you developed a sense that you were going to right the wrongs of society and were mistakenly of the belief that you may be able to fix other people's problems. You apparently had an inexplicable belief that your behaviour would result in a release of funds into society. You had no intention of using the funds for your own ends. The report of Dr Carroll concludes that you could not fully appreciate the wrongfulness of your conduct, and believed that it was morally justified in some way.
11 He expresses the opinion also that you are no longer suffering from the depressive or psychotic symptoms, although of course your aspergers disorder is still very clearly in evidence. He opines that the aspergers disorder would result in any sentence of imprisonment that might be imposed weighing more heavily on you than it would on a person who is not suffering from that disorder.
12 You also have other matters that I take into account. You have expressed remorse about your behaviour and you are committed to addressing the symptoms of your aspergers disorder and have in fact taken steps to ensure that you do address it. I note that you have family support, that you live with your mother, but have constant contact with your sister.
13 Dr Carroll indicates that your prospects for rehabilitation are excellent, but you need to be encouraged to embark on the program to help you manage your aspergers disorder. Tendered to me as Exhibit 3 was the report of Dr Marged Goode dated May 2011 which originally diagnosed you as having the aspergers disorder. Also tendered was a Certificate of Appreciation from the Wesley Mission Victoria for your contribution to the community on behalf of the homeless and support services of that organisation.
14 The plea came before me as a result of a sentencing indication hearing, where I indicated that I would not impose an immediate custodial sentence. Mr Edney on your behalf, submitted that you be dealt with by way of a fine or a community corrections order. This was on the basis that given your aspergers condition and your mental illness at the time of committing the offences, your moral culpability is low as I indicated, and therefore you are not an appropriate vehicle for general deterrence and that the requirement for general deterrence is significantly moderated, even though clearly in this type of offending, general deterrence would normally be very important.
15 Your counsel further submitted that specific deterrence was not needed in your case, as you have never committed a criminal offence before. He also makes further submissions that if I were to impose a term of imprisonment, although there was submission even by the Director of Public Prosecutions that you should serve that term, you would be barred from one of your very limited social activities, which involves the Sporting Shooters Association. It would result in a five year prohibition on obtaining a firearms licence, and therefore the attendance at the shooting club and the range, which is one of your very few social engagements would be completely impossible.
16 I note that you engaged in this offending in your forties, having led a blameless life to that point. I further take into account your plea of guilty for which you are entitled to a substantial discount. The Crown's submission was that the appropriate sentence for this type of offending is a term of imprisonment, although not one to be immediately served. They maintain that submission because of you being an employee in breach of trust and it was generally thought that general deterrence was of very great importance in this matter which I have now dealt with.
17 Having considered all these matters, I conclude that the appropriate sentence is a community corrections order and I have been provided with an assessment report which indicates that you are suitable for such an order and that your risk of re-offending is low. Before I impose that order, I want to tell you that if you were to breach the order that I am about to impose, either by failing to comply with the conditions, or by being convicted of any offences for which you could be sentenced to a term of imprisonment, you will be brought back before this court, and could be re-sentenced for the offences to which you have pleaded guilty and that could mean the imposition of a term of imprisonment.
18 I will now ask you to stand. On Charges 1 to 9 on the indictment, you are released on a community corrections order for a period of 18 months, with conditions that you undergo a mental health assessment and treatment and that you perform 225 hours of unpaid community work during the operation of the order.
19 You are to report to Ringwood Community Correctional Services at 10.00 a.m. on Wednesday 27 November and you will be required to sign a copy of the order before you leave court.
20 I think the only remaining matter is a s.6AAA declaration and I declare that but for your plea of guilty, I would have sentenced you to two years imprisonment wholly suspended for two years.
21 MS COLLIER: As Your Honour pleases.
22 HER HONOUR: That's what I would've done had you not pleaded guilty. Thank you, so if you just take a seat, we'll have the orders prepared and you can sign those.
23 HER HONOUR: I'll just wait outside while the order is prepared. So you've understood all that Mr Ng?
24 OFFENDER: Yes.
25 HER HONOUR: Yes, and you must understand that for 18 months now you must be very careful about what you do so that you don't commit any offence for which you could be imprisoned, because it would breach the order that has just been imposed.
26 OFFENDER: Yes I understand.
27 MS COLLIER: As Your Honour pleases.
28 HER HONOUR: Thank you
- - -
DPP
-v-
Rodney Ng
SUMMARY OF PROSECUTION OPENING FOR SENTENCE INDICATION HEARING
| Date of document: | 31/10/13 |
| Filed on behalf of: | Prosecution |
| Prepared for: Craig Hyland Solicitor for the Office of Public Prosecutions, 565 Lonsdale Street, Melbourne Vic. 3000. | Solicitor’s Code: 7539 Reference: Chantal Camilleri Telephone: (03) 96037841 Email: Chantal [email protected] |
The Crown submission on sentence is that a non-immediate custodial sentence is within range.
Alexander Albert
Barrister
Briefed to appear on behalf of the Director of Public Prosecutions
CONTENTS
Charges
Offending in summary
Background
Computershare
Lost shareholders
Off market share transfers
Ng
The offending
Arrest and searches
Charge 1(1), 2(1): 717 BHP Billiton shares – SRN I0080002696
Lost shareholder: John Bonar
Charge 1(2) 2 (2): 1607 BHP Billiton shares - SRN I0080005016
Lost shareholder: Roger Charlesworth.
Charge 1(3), 2(3): 3071 BHP Billiton shares- SRN I008000231
Lost shareholder: Linda Bingham
Charge 1(4), 2(4): 575 BHP Billiton shares - SRN I0201972060.
Lost shareholder: Two Richfield Oils Pty. Ltd.
Charge 1(5), 2(5): 6,675 BHP Billiton shares - SRN I0201064309
Charge 1(6), 2(6): 6,000 BHP Billiton shares - SRN I010203697660
Charge 1(7), 2(7): 3,000 National Australia Bank shares - SRN I0035035451
Lost shareholder: Shares owned by Alison Knudsen
Charge 1(8), 2(8): 325 BHP Billiton shares: SRN I0201796661
Lost shareholder: Ian Smith.
Charge 1(9), 2(9): 50,000 Central Petroleum Limited shares – SRN I0050001172
Lost shareholder: Joseph R. Martin.
Charge 3: 22 RioTinto shares – SRN I0030882601
Charge 7: 6 Bougainville Copper shares – SRN I0030186290
Charges 8, 9: dividends from the rioTinto shares
Lost shareholder: Richard Westmoreland.
Charge 4: 302 Santos shares – SRN 10030215583
Lost shareholder: Donald Bain.
Charge 5: 3600 Bougainville Copper shares – SRN I0030000129
Lost shareholder: Josephine Abaijah.
Charge 6: 60,000 Central Petroleum Limited shares – SRN I0050000761
Lost shareholder: Arturo Taverna Pty. Ltd.
Table summary of charges
29 Charges
| Charge | Offence | Date | Shares/ dividends | Lost shareholder: | Transfer to: | Value |
| 1, 2 (1) | 1. Make 2 Use false document | 7/1/11 | 717 BHP Billiton Limited | John Bonar | Jason Keats Transfer was declined. | 33,612.96 |
| 1, 2 (2) | 14/2/11 | 1607 BHP Billiton Limited | Roger Charlesworth | Faith Charlesworth Transfer was declined. | 75,336.16 | |
| 1, 2 (3) | 1/3/11 | 3071 BHP Billiton Limited | Linda Bingham | Roger Lee Transfer was declined. | 143,968.48 | |
| 1, 2 (4) | 7/3/11 | 575 BHP Billiton Limited | Two Richfield Oils Ltd. | Hua Van Long Transfer was declined. | 26,841 | |
| 1, 2 (5) | 14/3/11 | 6,675 BHP Billiton Limited | Alison Knudsen | Martin Ng Transfer was declined. | 310,788 | |
| 1, 2 (6) | 14/3/11 | 6,000 BHP Billiton Limited | Alison Knudsen | Martin Ng Transfer was declined. | 280,080 | |
| 1, 2 (7) | 14/3/11 | 3,000 National Australia Bank | Alison Knudsen | Martin Ng Transfer was declined. | 77,940 | |
| 1, 2 (8) | 18/3/11 | 325 BHP Billiton Limited | Ian Smith | Patricia Ng Transfer was declined. | 15,496 | |
| 1, 2 (9) | 22/3/11 | 50,000 Central Petroleum Limited | Joseph R. Martin | Martin Ng Transfer was declined. | 3050 | |
| 3 | Obtain property by deception | 1/2/11 | 22 RioTinto | Richard Westmoreland | Robert Lee | 1854.16 |
| 29/3/11 | Shares in name of Robert Lee. | Rodney Ng | ||||
| 4 | Obtain property by deception | 1/3/11 | 302 Santos | Donald Bain | Martin Ng | 4816.90 |
| 5 | Obtain property by deception | 15/3/11 | 3600 Bougainville Copper Limited. | Josephine Abaijah | Rodney Ng | 5760 |
| 6 | Obtain property by deception | 15/3/11 | 60,000 Central Petroleum Limited | Arturo Taverna International Pty. Ltd. | Hua Van Long | 3780 |
| 7 | Obtain property by deception | 27/3/11 | 6 Bougainville Copper Limited. | Richard Westmoreland | Robert Lee | 9.60 |
| 30/3/11 | Shares in name of Robert Lee. | Rodney Ng. | ||||
| 8 | Obtain property by deception | 6/4/11 | Dividends from 22 RioTinto shares | Richard Westmoreland | 39.46 | |
| 9 | Obtain financial advantage by deception | 7/4/11 | Dividends credited from 22 RioTinto shares | Richard Westmoreland | Accused’s bank account. | 263.02 |
30 Offending in summary
Ng
(1)was employed by Computershare. Computershare manages the share registries of a number of companies.
(2)identified a number of “lost shareholders” i.e. shareholders with whom contact had been lost.
(3)created and used false documents to complete off market transfers. 5 lots of shares from four lost shareholders were transferred to Ng’s name and/or to names of fictitious persons (charges: 3, 4, 5, 6, 7). The total value of those shares was $16220.66
(4)obtained payments of dividends on 2 occasions of a total amount of $302.48 from one lot of lost shareholder shares (charges 8, 9).
(5)made (charge 1 – global charge) and used (charge 2 – global charge) false share transfer forms. They were submitted to Computershare for the purpose transferring 9 lots of shares owned by 7 lost shareholders valued at $967,112.60. Computershare declined the transfers because security requirements for larger transfers from lost shareholders had not been complied with.
31 Background
Computershare
The Computershare group of companies
(1)is the world’s largest and only global share registry.
(2)provides financial market services and technology to the global securities industry.
(3)has its head office at 452 Johnston Street, Abbotsford
Computershare Investor Services Pty. Ltd.
(1)is a company in the Computershare group.
(2)at the head office manages the share registries of more than 1200 companies within Australia.
(3)employed Ng at the relevant time.
Managing a share registry involves -
(1)maintaining a register of current security holders with the following information -
(a)name
(b)address
(c)bank account details to which payments can be made.)
(2)managing shareholder payments e.g. -
(a)dividends
(b)distributions
(c)interest payments
(3)notifying shareholders of company meetings e.g. annual general meetings.
(4)shareholder communications via a call centre and written correspondence.
The computer system used by Computershare to operate the share registry is called SCRIP. A shareholder can change his address and bank account details through that system via the internet using his “SRN” number for his particular lot of shares. The SRN is in effect a PIN for the shareholder in relation to his/her particular lot of shares.
Lost shareholders
SCRIP gives a shareholder a “lost” shareholder status if mail sent to the shareholder is returned e.g. if the shareholder changes address and does not notify Computershare or dies and the death is not notified to Computershare. The shareholder retains the “lost” status in SCRIP until the shareholder or his/her representatives contact Computershare and provides current address, bank account details etc.
Payments (e.g. dividends) are not made to a “lost” shareholder. The lost payments accumulate until claimed.
Off market share transfers
An off market share transfer is a transaction that is not made in the ordinary course of business on the Australian Stock Exchange.
(1)The shareholder and buyer (or donee if a gift) complete an off market transfer form. This transfers legal ownership of the shares when processed.
(2)Computershare are not share brokers. No monies pass through its hands on sale of shares. The parties in an off market share transfer make their own payment arrangements.
(3)Computershare have security requirements in relation to share transfer forms received from lost shareholders. The requirements are more stringent the greater the value of the particular share lot.
Ng
Ng (dob 29/10/1966)-
(1)lived at 5 Panorama Dve., Forest Hills with his mother, Gaik Kee Patricia Ng. His father - Say Khim Martin Ng - passed away on 30/1/11 at the Box Hill Hospital aged 80 years old.
(2)opened a Commonwealth Bank Direct Investment Account (CDIA) number 300011187178 Forest Hill branch on 20/6/06.
(3)commenced employment with Computershare on 4/2/08.
(4)was employed as an Investor Services Representative in the Computershare Communications Centre. All staff with computer access to shareholder accounts on SCRIP have specific login ID’s and passwords in order to access the Computershare Local Area Network (LAN) and SCRIP.
32 The offending
Ng used SCRIP to identify lost shareholders. The access by Computershare staff to the share accounts was audited and checked against phone calls recorded in SCRIP in relation to those accounts. There was no reason found in the audit for Ng to have accessed the accounts that are subject of charges.
Arrest and searches
On 8/4/11 police
(1)arrested Ng at Computershare.
(2)executed a search warrant at Ng’s
(a)work place at Computershare.
(b)home at 6 Panorama Drive Forest Hills.
(3)seized a number of documents including
(a)documents in a manila folder found on Ng’s desk at Computershare. Those documents included Computershare records on lost shareholders and Ng’s handwritten notes about them i.e. names, addresses, SRN. Ng identified and made notes about what shares were “available” from lost shareholders and then undertook transfer of those shares.
(b)copies of share transfer forms found at Ng’s house. The originals had been lodged with Computershare to effect a transfer.
(4)interviewed Ng. He selectively answered questions. He answered -
(a)general questions concerning what his duties at Computershare were.
(b)some specific questions about a particular lot of shares and person who shares were transferred but declined to comment on other specific matters.
Charge 1(1), 2(1): 717 BHP Billiton shares – SRN I0080002696
Lost shareholder: John Bonar
On 7/1/11 Ng submitted a share transfer of lost shareholder John Bonar’s[1] 717 BHP Billiton shares to the fictitious person Jason Keats. Computershare declined the transfer.
[1]The lost shareholder in the transfer form was named as John Bonar Woodend. In that form “Woodend” appears to have been mistaken as the surname (rather than the township where the lost shareholder resides).
In the transfer form Keats address was given as Windsor, London.
A copy of the transfer form was found by police at Ng’s home (pg. 388).
In the folder on the accused’s desk at Computershare there was a handwritten note (pg. 337):
BHP
John Bonar
Woodend
I0080002696 -> Jason Keats X
Charge 1(2) 2 (2): 1607 BHP Billiton shares - SRN I0080005016
Lost shareholder: Roger Charlesworth.
On 14/2/11 Ng submitted a share transfer of lost shareholder Roger Charlesworth’s 1607 BHP Billiton shares to the fictitious person Faith Charlesworth. Her address was given as Seoul, Korea. Computershare declined the transfer.
A copy of the transfer form was found by police at Ng’s home (pg. 385).
In the folder on accused’s desk at Computershare there was (pg. 317) a printout
I0080005016
Mr. Roger Vivian Charlesworth
c/o Pfizer Korea Lt
CPO Box 2787
Seoul
South Korea
Charge 1(3), 2(3): 3071 BHP Billiton shares- SRN I008000231
Lost shareholder: Linda Bingham
On 14/2/11 Ng submitted a share transfer of lost shareholder Linda Bingham’s 3071 BHP Billiton shares to the fictitious person Roger Lee. Computershare declined the transfer.
In the transfer form Lee’s address was given as 97 Cromwell Road, London.
A copy of the transfer form was found by police at Ng’s home (pg. 389). There is no reason for Ng to have a copy of the transfer.
In the folder on accused’s desk at Computershare there was handwritten notes:
(1)(pg. 304)
Linda Murray Bingham
Castle Hill
Inverness UK
I00800023193071
(2)(pg. 337)
Linda Bingham I0080002319 -> Roger Lee X
(3)(pg. 305)
97 Cromwell Road
London SW74DN
England
Charge 1(4), 2(4): 575 BHP Billiton shares - SRN I0201972060.
Lost shareholder: Two Richfield Oils Pty. Ltd.
On 7/3/11 Ng submitted a transfer of lost shareholder Two Richfield Oils Pty. Ltd. 575 BHP Billiton shares to the fictitious person Hua Van Long. Computershare declined the transfer.
The address for Long given in the transfer form was 650 Bay St., Toronto, Canada.
A copy of the transfer form was found at accused’s home (pg. 400).
In his police interview Ng said that he did not know Hua Van Long (Q. 298).
In the folder on accused’s desk at Computershare there was
(1)handwritten notes:
(a)(pg. 337)
BHP
Twin Richfield X
(b)(pg. 332)
--- Twin Richfield Oils Ltd.
(2)(pg. 301) there was handwritten on a print out of Knudsens shareholdings:
Hua Van Long
165 William St.
Riverstone NSW 2765.
650 Bay St
Toronto ONM7A 2A3
Canada
Charge 1(5), 2(5): 6,675 BHP Billiton shares - SRN I0201064309
Charge 1(6), 2(6): 6,000 BHP Billiton shares - SRN I010203697660
Charge 1(7), 2(7): 3,000 National Australia Bank shares - SRN I0035035451
Lost shareholder: Shares owned by Alison Knudsen
Computershare had recorded in relation to other shares that Alison Knudsen owned was that she was deceased.
On 14/3/11 Ng submitted share transfers of lost shareholder Knudsen’s
(1)6,675 BHP Billiton shares
(2)6,000 BHP Billiton shares
(3)3,000 National Australia Bank shares
into the fictitious name Martin Ng on 14/3/11. Computershare declined the transfers.
Martin Ng’s address was given as 165 William St., Riverstone, NSW.
A copy of each transfer form was found by police at Ng’s home (pg. 397, 398, 399.)
In the folder on accused’s desk at Computershare there was a -
(1)(pg. 300, 301) print out of all Knudsen shareholdings. The print out identifies shares that remained in Knudsen’s name.
(2)handwritten notes:
(pg. 326)
NAB
from Alison Knudsen I0035035451
BHP I0203697660
BHP I020I064309
BHP I0201992060
--- T---- R----field
(pg. 333)
I0203697660
Alison Knudsen
BHP
Charge 1(8), 2(8): 325 BHP Billiton shares: SRN I0201796661
Lost shareholder: Ian Smith.
On 18/3/11 Ng submitted a share transfer of lost shareholder Ian Smith’s 325 BHP Billiton shares to his mother’s name - Patricia Ng. Computershare declined the transfer.
Patricia Ng’s address was given in the transfer form as 94 Burge Ct., Doncaster. That address was a vacant block.
A copy of the transfer form was found by the police at Ng’s desk at Computershare (pg. 338).
Charge 1(9), 2(9): 50,000 Central Petroleum Limited shares – SRN I0050001172
Lost shareholder: Joseph R. Martin.
On 22/3/11 Ng submitted a share transfer of lost shareholder Joseph R. Martin’s 50,000 Central Petroleum Limited shares to the fictitious person Martin Ng. Computershare declined the transfer.
Martin Ng’s address was given on the transfer form as 2 Lakefield Drive, Mango Hill, Queensland. The address was a vacant block of land.
A copy of the transfer form was found at Ng’s home (pg. 392).
In the folder on accused’s desk at Computershare there was found:
(1)(pg. 337) – handwritten notes
CTP
Joseph Martin I0050001172
(2)(pg. 326) handwritten notes
From CTP I0050001172
Martin Ng
2 Lakefield Dr
Charge 3: 22 RioTinto shares – SRN I0030882601
Charge 7: 6 Bougainville Copper shares – SRN I0030186290
Charges 8, 9: dividends from the rioTinto shares
Lost shareholder: Richard Westmoreland.
Lost shareholder Richard Westmoreland’s -
(1)22 RioTinto shares were transferred on 1/2/11
(2)6 Bougainville Copper shares were transferred on 27/3/11
into the name of Robert Lee.
A copy of the share transfer forms for the RioTinto shares (pg. 395, 396) and Bougainville Copper shares (pg. 394) from Westmoreland to Lee were found at Ng’s home.
The address on the share transfer forms given for Lee was 16 Nedlands Court, East Doncaster. That address was a vacant block of land.
In his police interview Ng said he-
(1)154 knew Robert Lee. They had met in a bar a few years ago.
(2)171 contacts Lee by email.
(3)188 occasionally meets Lee.
(4)203, 204 and Lee talk about shares.
(5)199, 206 does not know whether Lee has shareholdings.
(6)208 had been asked by Lee to check his shareholding.
On -
(1)29/3/11 the RioTinto shares were transferred from Lee to Ng. At Ng’s home police found -
(a)copy of the transfer form (pg. 391)
(b)letter from RioTinto to Ng acknowledging shares were transferred to him on 30/3/11 (pg. 381)
(2)30/3/11 the Bougainville Copper shares were transferred from Lee to Ng. At Ng’s home police found a copy of the transfer form (pg. 402).
On -
(1)28/2/11 Ng changed the bank account details for the payment of dividends for the RioTinto shares to his CDIA account.
(2)28/3/11 Computershare received a letter purportedly from Westmoreland of 32 Hockey Ave., Smithfield Qd., to pay dividends on his RioTinto shares from 7/4/03 to 9/9/10 to the bank account Computershare had recorded for him (pg. 109 – i.e. accused’s CDIA account).
(3)on 6/4/11, 3 cheques for RioTinto share dividends for a total of $39.46 were sent to 32 Hockey Ave., Queensland – charge 8.
(4)7/4/11 dividends totalling $263.02 for the period 7/4/03 to 9/9/10 were paid into the CDIA account (pg. 85, 86) – charge 9.
Ng said in his police interview (Q. 99) that he did not know Westmoreland.
In the folder on Ng’s desk at Computershare were the following handwritten notes (pg. 328):
--pert ---
I0030882601
I0030377681
Richard Westmoreland
Rio
149 Guyner Street
Rockhampton North
QLD 4701
7/4/03 – 9/9/10
-----
mo-eland
32 Hockey Ave
Smithfield QLD
4878
BOC
I030186290
Charge 4: 302 Santos shares – SRN 10030215583
Lost shareholder: Donald Bain.
Lost shareholder Donald Bain’s 302Santos shares were transferred into the name of Martin Ng on 1/3/11
(1)Say Khim Martin Ng was the deceased father of Ng.
(2)Martin Ng’s address was given on the share transfer form as 707 Avenue Se., Calgary Alberta, Canada, Alberta Canada.
A copy of the transfer form was found at accused’s home (pg. 387).
In the folder on accused’s desk at Computershare there was:
(1)(pg. 313) – a printout containing the following:
I0030027485
Mr. Donald Bain
Calgary
Alberta Canada T2L 1v4
(2)(pg. 332) – handwritten note
500 707-7 Avenue SW
Calgary
Alberta TPP 022
Charge 5: 3600 Bougainville Copper shares – SRN I0030000129
Lost shareholder: Josephine Abaijah.
Lost shareholder Josephine Abaijah’s 3600 Bougainville Copper shares were transferred to Ng on 15/3/11.
The address for Ng given on the share transfer form was 2 Barlow St., Port Melbourne. The address was a vacant block.
A copy of the transfer form was found at Ng’s home (pg. 386).
In the folder on accused’s desk at Computershare were the following handwritten notes (pg. 303):
0030000129
Mrs. Josephine Maria Abaijah
3600
Charge 6: 60,000 Central Petroleum Limited shares – SRN I0050000761
Lost shareholder: Arturo Taverna Pty. Ltd.
Lost shareholder Arturo Taverna Pty. Ltd.’s 60,000 Central Petroleum Limited shares were transferred on 15/3/11 to Hua Van Long.
The address for Long given in the transfer form was 79 Oakey Rd., Morayfield Qd. That address was a vacant block.
A copy of the transfer form was found by police at Ng’s home (pg. 401).
In his police interview Ng said that he did not know Hua Van Long (Q. 298).
In a folder on accused’s desk at Computershare there was:
(1)(pg. 314) a printout:
I0050000761
Arturo Taverna International Pty. Ltd.
75 Meyer Street
Townsville SA
ctp 6000
(2)(pg. 326) handwritten notes
CTP
Arturo Taverna I0050000761
-> Hua Van Long
33 Table summary of charges
| Charge | Offence | Date | Shares/ dividends | SRN | Lost shareholder: | Transfer to: | Method | Detail | Value | ||||||||||||
| 1(1), 2(1) | 1. Make/ 2. use false document. | 7/1/11 | 717 BHP Billiton Limited | I0080002696 | John Bonar Woodend Note: Woodend appears to be address where Bonar lives. | Jason Keats Transfer was declined. | 7/1/11 - share transfer form. Copy of transfer form found in accused’s home (pg. 388). | Address for Keats was given as 60 Windsor Ave., London. | 33,612.96 | ||||||||||||
| 1(2), 2(2) | 14/2/11 | 1607 BHP Billiton Limited | I0080005016 | Roger Charlesworth | Faith Charlesworth Transfer was declined. | 14/2/11 - share transfer form Copy of transfer form found in accused’s home (pg. 385). | Address given for both Roger and Faith Charlesworth was Seoul Korea. | 75,336.16 | |||||||||||||
| 1(3), 2(3) | 1/3/11 | 3071 BHP Billiton Limited | I0080002319 | Linda Bingham | Roger Lee Transfer was declined. | 1/3/11 – share transfer form. Copy of transfer form found in accused’s home (pg. 389). | Address for Roger Lee was given as 97 Cromwell Rd., London, England. | 143,968.48 | |||||||||||||
| 1(4), 2(4) | 7/3/11 | 575 BHP Billiton Limited | I0201972060 | Two Richfield Oils Ltd. | Hua Van Long Transfer was declined. | 7/3/11 - share transfer form. Copy of transfer form found in accused’s home (pg. 400). | Address for Long was given as 650 Bay St., Toronto. Police interview Q. 298 Accused did not know Long. | 26,841 | |||||||||||||
| 1(5), 2(5) | 14/3/11 | 6,675 BHP Billiton Limited | I020I064309 | Alison Knudsen | Martin Ng Transfer was declined. | 14/3/11 - share transfer form. Copy of transfer form found in accused’s home (pg. 399) | Knudsen was deceased. Address given for Martin Ng was 165 William St., Riverstone, NSW. Say Khim Martin Ng was Ng’s father. He died on 30/1/11. | 310,788 | |||||||||||||
| 1(6), 2(6) | 14/3/11 | 6,000 BHP Billiton Limited | I0203697660 | Alison Knudsen | Martin Ng Transfer was declined. | 14/3/11 - share transfer form Copy of transfer form found in accused’s home (pg. 398). | Knudsen was deceased. Address given for Martin Ng was 165 William St., Riverstone, NSW. Say Khim Martin Ng was Ng’s father. He died on 30/1/11. | 280,080 | |||||||||||||
| 1(7), 2(7) | 14/3/11 | 3,000 National Australia Bank | I0035035451 | Alison Knudsen | Martin Ng Transfer was declined. | 14/3/11 - share transfer form. Copy of transfer form found in accused’s home (pg. 397). | Knudsen was deceased. Address given for Martin Ng was 165 William St., Riverstone, NSW. Say Khim Martin Ng was Ng’s father. He died on 30/1/11. | 77,940 | |||||||||||||
| 1(8), 2(8) | 18/3/11 | 325 BHP Billiton Limited | I0201796661 | Ian Smith | Patricia Ng Transfer was declined. | 18/3/11 – share transfer form Copy transfer form found on accused’s desk at Computershare (pg. 338). | Address given for Patricia Ng was 94 Burge Ct., Doncaster. The address was a vacant block of land. Gaik Kee Patricia Ng is Ng’s mother. | 15,496 | |||||||||||||
| 1(9), 2(9) | 22/3/11 | 50,000 Central Petroleum Limited | I0050001172 | Joseph R. Martin | Martin Ng Transfer was declined. | 22/3/11 - share transfer form. Copy of transfer form found in accused’s home (pg. 392). | Address given for Martin Ng was 2 Lakefield Dv., Mango Hill Queensland. The address was a vacant block of land. Say Khim Martin Ng was Ng’s father. He died on 30/1/11. | 3050 | |||||||||||||
| 3 | OPBD 22 shares RioTinto | 1/2/11 | 22 RioTinto | I0030377681 | Richard Westmoreland | Robert Lee | 1/2/11 - share transfer form from Westmoreland to Robert Lee. Copy of transfer form from Westmoreland to Lee found in accused’s home (pg. 395, 396). No reason for Ng to have a copy. | Address for Lee was given as 16 Nedlands Court East Doncaster. That address was a vacant block. | 1854.16 | ||||||||||||
| 29/3/11 | Shares in name of Robert Lee. | Rodney Ng | 29/3/11 - share transfer form from Lee to accused (pg. 391). Letter from RioTinto to Ng found at his home acknowledging shares were transferred to him on 30/3/11 (pg. 381) | Address for accused was given as his home address of 6 Panorama Dve., Forest Hills. | |||||||||||||||||
| 4 | OPBD 302 Santos shares | 1/3/11 | 302 Santos | I0030027485 | Donald Bain | Martin Ng | 1/3/11 - share transfer form Copy of transfer found at accused’s home (pg. 387). Note: Letter from Santos to Martin Ng and Patricia Ng re: AGM 5/5/11 found at accused’s home. (pg 360, 376) – apparently other shares in Santos held by accused’s parents | Address given for Martin Ng was 707 Avenue Se., Calgary, Alberta, Canada. Say Khim Martin Ng was Ng’s father. He died on 30/1/11. . | 4816.90 | ||||||||||||
| 5 | OPBD 3600 Bougainville Copper Limited shares | 15/3/11 | 3600 Bougainville Copper Limited. | I0030000129 | Josephine Abaijah | Rodney Ng | 15/3/11 share transfer form. | Address for accused was given as 2 Barlow St., Port Melbourne. That address was a vacant block. | 5760 | ||||||||||||
| 6 | OPBD 60,000 Central Petroleum Limited shares | 15/3/11 | 60,000 Central Petroleum Limited | I0050000761 | Arturo Taverna International Pty. Ltd. | Hua Van Long | 15/3/11 - share transfer form Copy of transfer form found in accused’s home (pg. 401). Police interview Q. 298 Accused did not know Long. | Address for Long was given as 79 Oakey Flat Rd, Morayfield Qd. That address was a vacant block. | 3780 | ||||||||||||
| 7 | OPBD - 6 Bougainville Copper Limited shares | 27/3/11 | 6 Bougainville Copper Limited. | I0030186290 | Richard Westmoreland | Robert Lee | 27/3/11 share transfer form from Westmoreland to Lee. Copy of transfer form found in accused’s home (pg. 394). | Address for Lee was given as 16 Nedlands Court East Doncaster. That address is vacant block of land. | 9.60 | ||||||||||||
| 30/3/11 | I0030215583 | Shares in name of Robert Lee. | Rodney Ng. | Share transfer form dated 30/3/11 from Lee to Ng. Copy of transfer form found in accused’s home (pg. 402). | Address for accused was given as his home address of Panorama Dve., Forest Hills. | ||||||||||||||||
| 8 | OPBD cheques sent for dividends | 6/4/11 | Dividends from 22 RioTinto shares | Richard Westmoreland | 6/4/11 – 3 cheques sent for dividends to 32 Hockey Ave., Queensland. | Address given in letter purportedly from Westmoreland dated 28/3/11 to Computershare requesting payment of dividends from 7/4/03 - 9/9/10 was 32 Hockey Ave, Smithfield Queensland (pg. 109). | 39.46 | ||||||||||||||
| 9 | OFABD Crediting of share dividends for 7/4/03 to 9/9/10-$263.02 | 7/4/11 (dividends credited) | Dividends from 22 RioTinto shares | I0030882601 | Richard Westmoreland | Accused’s bank account. | 28/2/11 - Ng changed details of Westmoreland’s bank account to his own account. 28/3/11 - letter in Westmoreland’s name requested outstanding payments of dividends from 7/4/03 to 9/9/10 be paid into that account (pg. 109). 7/4/11 - $263.03 paid into that account. | 263.02
|
0
0
0