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Showing 91 - 100 of 138 results for "ASIC bans"

ASIC bans former Westpac trader

LAURA MILLAN  |  WEDNESDAY, 21 MAY 2014
Former Westpac Institutional Bank trader Jeremy Kaviraj Nambiar was banned for eight years from financial services for creating fictitious trading entities and a false document. Nambiar worked at Westpac during 2009 and 2010 and he was in charge of ...

ASIC bans former authorised representative

LAURA MILLAN  |  WEDNESDAY, 26 MAR 2014
Former director and officer of CS Heritage Securities has been permanently banned from providing financial services by the Australian Securities and Investment Commission (ASIC). The regulator found that Phillip Gregory Spark had engaged in misleading ...

ASIC bans credit and mortgage brokers

LAURA MILLAN  |  WEDNESDAY, 11 DEC 2013
The Australian Securities and Investments Commission (ASIC) has banned three mortgage brokers and convicted one after it found that they had provided false information to clients. Two Sydney-based mortgage brokers were permanently banned for providing ...

ASIC bans broker for deceptive conduct

JAMES FERNYHOUGH  |  TUESDAY, 6 AUG 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a Perth-based insurance broker after it found he had engaged in misleading and deceptive conduct. ASIC found that John Andrew Barr, of Darlington, Western Australia ...

ASIC bans Gateway Financial adviser permanently

LAURA MILLAN  |  MONDAY, 8 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a former Gateway Financial adviser, which is an authorised representative of Titanium Planners. Joshua John Doyle from Bradbury, New South Wales, has been permanently ...

ASIC bans former CEO for 'misleading activities'

JAMES FERNYHOUGH  |  FRIDAY, 7 JUN 2013
Murray John Priestley, former chief executive of Lifestyle Group, has been banned from providing financial services for three years. The Australian Securities and Investments Commission (ASIC) found that Priestley had misled a client, when he guaranteed ...

ASIC bans another insurance broker

MARK SMITH  |  FRIDAY, 22 MAR 2013
Financial planners and industry professionals were sent another clear message today that unscrupulous practitioners will face the full force of the regulator with the Australian Securities and Investments Commission (ASIC) permanently banning a Sydney ...

ASIC bans two advisers

MELANIE TIMBRELL  |  TUESDAY, 25 SEP 2012
ASIC has banned two advisers from providing financial services following breaches including unlawful early release of superannuation benefits. Simon Turudia, formerly an authorised representative of AMP Financial Planning was found to have arranged ...

ASIC bans ABC LC auditor

BEN COLLINS  |  THURSDAY, 9 AUG 2012
The Australian Securities & Investments Commission has banned an ABC Learning Centres auditor from practicing for five years. The Australian Securities & Investments Commission (ASIC) said it has accepted an enforceable undertaking (EU) from Brisbane ...

ASIC bans Sydney adviser

LINDA HAUSKEN  |  WEDNESDAY, 18 JUL 2012
The Australian Securities & Investments Commission has banned Sydney based adviser Colin James Oberg from providing financial services after he withdrew over $1.55 million of client funds without approval. At the time of the offence, Oberg was a financial ...