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Showing 151 - 155 of 155 results for "ASIC bans"

ASIC bans Perth investment adviser for 18 months

The Australian Securities and Investments Commission (ASIC) today announced that it had banned a Perth-based investment adviser, from acting as an authorised representative of a securities dealer or an investment adviser for 18 months. Following an ...

ASIC bans Darling Point financial adviser

The Australian Securities and Investments Commission (ASIC) has banned Martin Lloyd-Cocks, a financial adviser from Darling Point NSW, from acting as a representative of a securities dealer or investment adviser for five years. Mr Lloyd-Cocks was an ...

ASIC bans financial adviser for three years

The Australian Securities and Investments Commission (ASIC) today announced that it had banned Perth-based Darren Horner from acting as a representative of a dealer or an adviser for a period of three years, starting 8 August 2003. ASIC found that Mr ...

ASIC bans Sydney businessmen

The Australian Securities and Investments Commission (ASIC) has banned Jonathan Rabinovitz - a former authorised representative of Credit Suisse First Boston Australia Equities Limited (CSFB) - from the securities industry for 18 months. ASIC found ...

ASIC bans Melbourne adviser for four years

The Australian Securities and Investments Commission (ASIC) has announced today that it has banned Malbourne-based Christopher Martin from acting as a representative of a dealer or an investment adviser for four years for not performing his duties efficiently ...