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Showing 101 - 110 of 218 results for "ASIC ban"

ASIC bans former Westpac adviser

EMMA RAPAPORT  |  THURSDAY, 8 JUN 2017
A former representative of Westpac has been banned from providing financial services for five years following an ASIC investigation. Sudhir Kumar Sinha, a financial planner from Western Australian, was found to have systematically failed to meet his ...

ASIC bans former Avestra directors

ALEX BURKE  |  WEDNESDAY, 17 MAY 2017
Former directors of Avestra Asset Management have been banned from providing financial services for 10 years. Paul Rowles and Clayton Dempsey were found by the Federal Court to have engaged in multiple contraventions of the Corporations Act. These included ...

ASIC bans company director

JAMIE WILLIAMSON  |  FRIDAY, 21 APR 2017
A former director of a Melbourne-based investment banking securities dealer and asset management firm was banned from providing financial services by ASIC. Bingxing Hu was banned for five years after an ASIC investigation found he knowingly engaged ...

ASIC bans Melbourne insurance broker

EMMA RAPAPORT  |  FRIDAY, 24 FEB 2017
Melbourne based insurance broker, Anthony Doring, has been permanently banned from providing financial services. Following an ASIC hearing the regulator found that Doring, manager of Phil Doring Insurance Brokers (PDIB) deliberately engaged in dishonest ...

Adviser appeals ASIC ban

EMMA RAPAPORT, JAMIE WILLIAMSON  |  WEDNESDAY, 25 JAN 2017
A financial adviser who is under investigation by the FPA Conduct Review Commission has been banned by ASIC from providing financial services for five years. The regulator issued Darren Tindall of PWM Advice in Orange, NSW, with a banning order last ...

AAT upholds adviser appeal against ASIC

EMMA RAPAPORT  |  TUESDAY, 24 JAN 2017
The Administrative Appeals Tribunal upheld an appeal by Tony Davidof, a former Macquarie Equities accredited derivatives adviser, against the Australian Securities and Investments Commission. In 2015, ASIC banned Davidof from providing financial services ...

ASIC bans Sydney adviser

JAMIE WILLIAMSON  |  FRIDAY, 16 DEC 2016
A Sydney financial adviser was banned from providing financial services for three years by ASIC. Keira Jane Keegan, a former representative of Protect Ensure, was banned for recommending SMSF clients invest in financial products issued by Protect Ensure. ...

ASIC bans life insurance adviser

ALEX BURKE  |  FRIDAY, 9 DEC 2016
ASIC banned a Queensland-based financial adviser for seven years. Mateen Mohammed, who was an authorised representative of Synchronised Business Services from 2010 to 2015, is alleged by the regulator to have not maintained nor understood the "duties ...

ASIC bans SA insurance broker

ALEX BURKE  |  WEDNESDAY, 30 NOV 2016
ASIC has permanently banned an insurance broker in South Australia. Christopher Griggs was the sole director of Mount Pleasant-based Chris Griggs Insurance Offices. ASIC's investigation determined Griggs had dishonestly benefited from insurance premium ...

ASIC bans former AMP adviser

KERRIE SYDEE  |  MONDAY, 21 NOV 2016
A former authorised representative of AMP Financial Planning has received an eight year ban after engaging in misleading conduct. James McCarthy of South Australia has been banned from providing financial services until 14 November 2024. He is the sole ...