Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1421 - 1430 of 1614 results for "Investigation"

Advisor charged with $1.5m fraud

HAMISH MADDEN  |  MONDAY, 21 AUG 2006
An advisor has been charged after an Australian Securities and Investments Commission (ASIC) investigation found that he allegedly defrauded almost $1.5 million from investors. Financial advisor Antonio Pisano appeared in Armadale Magistrates' Court ...

ASIC bans broker and adviser for life

HAMISH MADDEN  |  MONDAY, 14 AUG 2006
The Australian Securities and Investments Commission (ASIC) has imposed permanent bans on an insurance broker and a former ANZ Bank adviser for syphoning off significant amounts of money. Former insurance broker Dennis Whittaker, who was general manager ...

IOOF's head of retail funds departs

KATE HAGE  |  WEDNESDAY, 9 AUG 2006
... yesterday, only a week after media reports that the group had suspended four of its senior executives while an accounting investigation took place. IOOF chief executive officer, Ron Dewhurst, told the Financial Standard there was no reason for concern ...

Options broker guilty of large scale forgery

HAMISH MADDEN  |  TUESDAY, 8 AUG 2006
... Dicksons between July 1997 and June 2002 before heading to Bell Potter Securities from June 2002 to April 2003. An ASIC investigation found that between 13 September 2001 and 11 March 2003 Kakoschke had forged collateral lodgement forms which allowed ...

GIO Insurance directors hit with heavy penalties

HAMISH MADDEN  |  THURSDAY, 3 AUG 2006
... and dealt hefty fines by the NSW Supreme Court after an Australian Securities and Investments Commission (ASIC) investigation into their dishonest and improper conduct. Geoffrey Vines, Francis Robertson and Timothy Fox were found to have breached their ...

AMP caught on conflicts

KATE HAGE  |  THURSDAY, 27 JUL 2006
AMP Financial Planning (AMPFP) has been pulled up by the regulator for giving 300 clients unnecessary or inadequate super switching advice and having inadequate conflicts of interest procedures in place. Only months after the regulator's shadow shopping ...

Another Elm associate banned by ASIC

HAMISH MADDEN  |  TUESDAY, 11 JUL 2006
... Campbelltown, was a licensee of Elm Financial Services Pty Limited from November 2001 to November 2004. An ASIC investigation found that in February 2004 Flegg made arrangements for a retired couple to invest $1 million, their entire superannuation balance ...

ASIC serves up life to insurance rep

HAMISH MADDEN  |  THURSDAY, 22 JUN 2006
... Howell, from Victoria, has received a permanent ban after an Australian Securities and Investments Commission (ASIC) investigation found that he had deceived CGU by failing to keep client insurance premiums in a trust until being forwarded to CGU, failing ...

Former Westpac rep rips off $500k

... David Jarrett of New South Wales, was banned following an Australian Securities and Investments Commission (ASIC) investigation into his alleged misappropriation of funds. The illegal activity was alleged to have occurred between February and December ...

Two directors cop ASIC bans

HAMISH MADDEN  |  MONDAY, 19 JUN 2006
Two directors have been banned from providing any financial services for three years following an investigation by the Australian Securities and Investments Commission (ASIC). Brian Forshaw and Guiscardo Bottari, both operating out of Melbourne, have ...