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Showing 101 - 110 of 138 results for "ASIC bans"

ASIC bans unlicensed Sydney adviser

LINDA HAUSKEN  |  THURSDAY, 12 JUL 2012
Australian Securities & Investments Commission has permanently banned Sydney based adviser Ropati Broederlow after it found he acted dishonestly and made false and misleading statements in relation to financial products. Broederlow was also operating ...

ASIC bans financial services director

LINDA HAUSKEN  |  THURSDAY, 14 JUN 2012
Australian Securities & Investments Commission has banned Michael Grochowski from providing financial services for four years in relation to his conduct as a director and officer of Sovereign MF Limited. Sovereign holds an Australian Financial Services ...

ASIC bans adviser following fraud conviction

BEN COLLINS  |  TUESDAY, 24 APR 2012
The Australian Securities & Investments Commission has permanently banned Christos Papaioannou, also known as Chris Pappas, from providing financial services following his conviction on fraud charges in the Magistrates Court of Victoria. On 29 March ...

ASIC bans Victorian adviser

CLAIRE MCGREAL  |  FRIDAY, 2 MAR 2012
A former Victorian company director and adviser has been permanently banned from the industry after he withdrew more than $200,000 from client accounts over four months. ASIC found Nenad Petrovic, now living in Brisbane, acted dishonestly and contrary ...

ASIC bans authorised representative of Romad Financial Services

CLAIRE MCGREAL  |  TUESDAY, 8 NOV 2011
ASIC's clean-up of the financial services industry is continuing with the banning of a Melbourne-based authorised representative of Romad Financial Services. Rory Mor Macleod Deutsch of Box Hill North cannot provide financial services for four years ...

ASIC bans former Citibank manager

RACHEL DAVIS  |  TUESDAY, 20 SEP 2011
ASIC has permanently banned a former Citibank manager from providing financial services after an investigation found she conducted over 30 transactions without client authorisation. Victoria Cai, of Beverly Hills, New South Wales, was employed as a ...

ASIC bans adviser over deceptive conduct

RACHEL DAVIS  |  TUESDAY, 6 SEP 2011
A former Sydney-based financial adviser has been permanently banned from providing financial services after an ASIC investigation revealed he had engaged in misleading and deceptive conduct. James Edward Maurice Rowe was banned after ASIC found he had ...

ASIC bans "deceptive" planner for five years

ALISON BEVEGE  |  FRIDAY, 6 MAY 2011
Corporate watchdog ASIC has banned a financial planner for five years after he tricked his clients with shonky advice which included arranging margin loans for them, it said today. ASIC said Ian John Weaver of Clear Island Waters, Queensland, broke ...

ASIC bans former Storm adviser

ELISE BURGESS  |  FRIDAY, 25 FEB 2011
Former Storm Financial adviser, Stuart Craig Drummond, has been banned from providing financial services for four years following an investigation by the Australian Securities and Investments Commission (ASIC). Drummond was found guilty of making false ...

ASIC bans adviser for misleading conduct

ELISE BURGESS  |  WEDNESDAY, 8 DEC 2010
ASIC has banned financial adviser Jenny Tu Quyhn Tran of Naremburn for five years for misleading conduct and deceptive client relations. ASIC has called the actions of Tran "deliberate and likely to mislead", and that she showed a lack of compliance ...