Search Results | Showing 141 - 150 of 890 results for "Banned" |
| | | ... systems. The broker also commissioned an independent review of the design of its trade systems back in 2021. Meanwhile, ASIC banned Openmarkets former acting head of trading Virginia Owczarek from providing any financial service for three years. The ... |
| | | | ... the company the Hayne Royal Commission exposed for hawking life and funeral insurance to vulnerable customers, has been banned from managing a company for five years, while his companies were fined $13.5 million. The Federal Court found Russell Howden ... |
| | | | ASIC has permanently banned David Sutton from providing any financial services and disqualified him from managing corporations for five years. The regulator also cancelled the Australian financial services licence (AFSL) of McFaddens Securities, now ... |
| | | | ... parties to solicit business through cold calling. Unsolicited calls to consumers about superannuation advice should be banned, the industry body said in its May pre-budget submission, adding that it is aware of several financial advice businesses employing ... |
| | | | Former financial adviser John Wertheimer has been banned by the regulator after he was convicted of using the Netwealth platform to access client accounts and make unauthorised transactions. In May 2020, Wertheimer made 48 unauthorised transactions ... |
| | | | Having already permanently banned former Shaw and Partners senior adviser Kristofer Ridgway, ASIC has now made sure he cannot leave or attempt to leave Australia. Interim travel restraint orders were made on June 11 following the regulator's application. ... |
| | | | The director of investment manager Foxi Capital has been banned from providing financial services for eight years after it was found he lacked relevant qualifications and experience, and misled investors. Foxi Capital director and Responsible Entity ... |
| | | | A Perth woman has been permanently banned from running a financial services business, while the $11 million illegal investment scheme she ran will be wound up. Monica Kaur, through her business MKS Property Investments/Developments, encouraged around ... |
| | | | ... conflicted remuneration. Vick's banning is recorded on ASIC's publicly available Financial Advisers Register and the Banned and Disqualified register. |
| | | | ... reports. ASIC alleged the relevant overseas funds and accounts either did not exist or were grossly inaccurate. ASIC first banned D'Amore from providing financial services in 2018, as well as cancelling Berndale's AFSL. A year later, the corporate regulator ... |
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