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Showing 131 - 140 of 293 results for "Pty Ltd."

ASIC obtains order banning derivatives trading director

BEN COLLINS  |  TUESDAY, 24 APR 2012
Australian Securities & Investments Commission action has resulted in Neil William King, formerly of Brighton, Victoria, being removed from the financial services industry for six years. In proceedings brought by Australian Securities & Investments ...

ASIC bans adviser following fraud conviction

BEN COLLINS  |  TUESDAY, 24 APR 2012
... Victoria Police, arose from conduct while he was an authorised representative of BDO Kendalls Wealth Management (Vic) Pty Ltd (as it then was). Papaioannou withdrew, without authorisation, funds totaling $226,881.44 from several of his clients' self-managed ...

Former Bell Potter adviser charged

MELANIE TIMBRELL  |  WEDNESDAY, 11 APR 2012
... with his clients. The charges involve more than $1.06 million and relate to his role as a director of Kismet Trading Pty Ltd (in liquidation) during his employment as a senior client adviser for the stockbroking company, Bell Potter Securities. ASIC ...

Market Wrap

AAP  |  TUESDAY, 13 MAR 2012
The Australian share market opened higher on Tuesday in the wake of a mixed performance by markets in the United States. At 1014 AEDT on Tuesday, the benchmark S&P/ASX200 index was up 24.0 points, or 0.57 per cent, at 4,220.7 points, while the broader ...

Adviser banned for chasing commissions

ELISE BURGESS  |  WEDNESDAY, 7 MAR 2012
... an authorised representative of GuardianFP from April 2005 until May 2011, and an employee of Jalee Consulting Group Pty Ltd (Jalee), also an authorised representative of GuardianFP. She provided financial advice and arranged life insurance. During an ...

Gold Coast scam sees 20 investors lose $250,000

CLAIRE MCGREAL  |  MONDAY, 28 NOV 2011
ASIC has obtained continued interim court orders against a Gold Coast unlicensed financial services firm in the wake of a scam that has so far seen investors lose around $250,000. The injunctions restrain Golden Sparrow Pty Ltd, GS Contracting Pty Ltd  ...

FPA award winners embrace FOFA

ELISE BURGESS  |  MONDAY, 21 NOV 2011
... Momentum Planning (WA) FPA Associate Financial Planner Best Practice Award: Michael Smith AFP, Pure Financial Management Pty Ltd (SA) Jim Fenwicke AFP, Fenwicke Financial Services (NSW) Future2 Community Service Best Practice Award: Charles Badenach ...

ASIC cancels South Australian financial services licence

CLAIRE MCGREAL  |  THURSDAY, 17 NOV 2011
ASIC has cancelled the financial service license of Adelaide based firm Mark Power Financial Ltd, along with the license of its responsible manager Mark Raymund Power. The move follows concerns Mark Power Financial (MPF) didn't comply with ASIC's obligations ...

ASIC investigations lead to charges, interim orders

CLAIRE MCGREAL  |  TUESDAY, 15 NOV 2011
A Perth stockbroker has pleaded not guilty to more than 10 fraud charges, but guilty to a charge of dishonestly using his position as an employee at his former workplace. Jonathan Kur, who was an authorised representative for Hogan and Partners Stockbrokers ...

Adviser charged with fraud

ELISE BURGESS  |  THURSDAY, 10 NOV 2011
A former senior adviser at Sydney firm, Noall & Co, faced charges of fraud in court this week following an ASIC investigation. James Patrick Hobson, a senior financial adviser, faced Downing Centre Local Court for allegations that he defrauded four ...