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Showing 131 - 140 of 155 results for "ASIC bans"

ASIC bans Firepower adviser

ASIC RELEASE  |  FRIDAY, 10 JUL 2009
ASIC has banned another adviser Quentin Ward from providing financial services for eight years after an investigation into his involvement in Firepower investments. ASIC banned Ward after an investigation into his dealings in the sale of Firepower Holdings ...

ASIC bans Macquarie rumourmonger

MEDIA RELEASE  |  TUESDAY, 24 MAR 2009
The Australian Investments and Securities Commission (ASIC) has banned Richard Macphillamy from providing financial services for 18 months after he spread false rumours about Macquarie Group and one of firm's products. The regulator banned Macphillamy ...

ASIC bans former Money Matters adviser

ASIC STATEMENT  |  MONDAY, 1 SEP 2008
Victoria-based Ian Bristow, one of the financial advisers who recommended Westpoint products to clients, has been banned from providing financial services for six years following a long drawn out ASIC investigation. ASIC alleged that Bristow "dishonestly" ...

ASIC bans unlicensed Westpoint adviser

MICHAEL HOBBS  |  WEDNESDAY, 30 JUL 2008
The Australian Securities and Investments Commission (ASIC) banned Gold Coast based, Russell Sheppard from providing financial services for eight years after the regulator found he provided unlicensed advice on Westpoint products. The regulator found ...

ASIC bans three Westpoint planners

MICHAEL HOBBS  |  WEDNESDAY, 9 JUL 2008
The Australian Securities and Investments Commission (ASIC) banned three more financial planners involved in misleading clients on Westpoint products from providing financial services. The regulator banned New South Wales based Timothy Harrison from ...

ASIC bans Westpoint adviser

MICHAEL HOBBS  |  MONDAY, 7 JUL 2008
The Australian Securities and Investments Commission (ASIC) banned Perth-based planner David Roy from providing financial services for seven years after it found he misled clients on Westpoint products. The regulator found between 1998 and 2005, Roy ...

ASIC bans Oxford Investments

MICHAEL HOBBS  |  WEDNESDAY, 2 JUL 2008
The Australian Securities & Investments Commission (ASIC), backed by the Federal Court of Australia, banned Tasmanian based Oxford Investments Tasmania and its sole director for advising on financial products for 10 years. As a result, the firm and ...

ASIC bans Westpoint planner

MICHAEL HOBBS  |  THURSDAY, 19 JUN 2008
The Australian Securities & Investments Commission (ASIC) banned Western Australian financial adviser David Liddicoat from providing financial services for three years after he misled clients on Westpoint investments. Liddicoat provided financial planning ...

ASIC bans Tweed but can't stop off-market traps

HAMISH MADDEN  |  FRIDAY, 3 NOV 2006
David Tweed, the perennial off-market shareholder predator, has been banned by the Australian Securities and Investments Commission (ASIC) from providing financial services. ASIC banned Tweed for his role relating to two offers to acquire holdings from ...

ASIC bans building insurance broker

The Australian Securities and Investments Commission (ASIC) has banned former insurance broker Dennis Murvan Gentry, of Collingwood, Victoria from providing financial services for five years. ASIC found that Gentry engaged in dishonest and misleading ...