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Showing 131 - 140 of 243 results for "ASIC ban"

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 ...

ASIC bans deceptive adviser

KERRIE SYDEE  |  TUESDAY, 8 NOV 2016
ASIC has permanently banned a Queensland financial adviser from providing financial services after he failed to comply with financial services laws. George Karakatsanis of Yeronga was banned after ASIC found he engaged in misleading and deceptive conduct ...

ASIC bans Brisbane life adviser

KERRIE SYDEE  |  FRIDAY, 4 NOV 2016
ASIC has banned a Brisbane based life insurance financial adviser from providing financial services for five years after an investigation found he had failed to comply with several financial services laws. Former authorised representative of Affinia ...

ASIC bans Deutsche Bank trader

KERRIE SYDEE  |  THURSDAY, 29 SEP 2016
ASIC permanently banned a former Deutsche Bank FX options and futures trader from providing financial services. Andrew Donaldson of Sydney was banned following an ASIC investigation into Donaldson's conduct in 2013 and 2014, where he entered false entries ...

ASIC bans fraudulent adviser

KERRIE SYDEE  |  FRIDAY, 23 SEP 2016
ASIC permanently banned a financial adviser after he was sentenced and imprisoned for fraud charges. Sandeep Madhoji is permanently banned from providing financial services or engaging in credit activity following the successful prosecution of the Queensland ...