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Showing 1 - 9 of 9 results for "Spectrum Wealth Advisers"

Former Spectrum chief cops additional bans

KARREN VERGARA  |  WEDNESDAY, 20 OCT 2021
Former Spectrum Wealth Advisers chief executive Mark Schroeder has been slapped with banning orders in addition to his six-year ban from providing financial services. The Administrative Appeals Tribunal amended ASIC's banning order that was handed down ...

Adviser banned for five years

ELIZA BAVIN  |  TUESDAY, 26 MAY 2020
... surveillance of advice provided by NSW-based Sean Lewis while he was an authorised representative of Spectrum Wealth Advisers. ASIC found that Lewis failed to comply with financial services laws, including failure to provide advice that was in the best ...

Former licensee boss banned

JAMIE WILLIAMSON  |  TUESDAY, 11 FEB 2020
ASIC has said the former chief executive of Spectrum Wealth Advisers had a poor understanding of his obligations and failed to ensure advisers complied with the law, banning him over his involvement in the licensee's numerous failures. Mark Schroeder ...

Spectrum Wealth representatives find new homes

ELIZABETH MCARTHUR  |  MONDAY, 29 JUL 2019
Spectrum Wealth Advisers is seeking to cancel its licence and is no longer providing financial services, with many representatives having now joined new licensees. ASIC recently advised clients of Spectrum Wealth Advisers and the advisers registered ...

Advice dealer group shutters

HARRISON WORLEY  |  FRIDAY, 31 MAY 2019
More than 30 financial advisers are left without a home as Spectrum Wealth Advisers shuts up shop. Freedom Insurance Group has today revealed Spectrum will close earlier than originally intended as it can no longer meet a "key person" requirement of ...

Vamos joins embattled insurer

JAMIE WILLIAMSON  |  MONDAY, 12 NOV 2018
... million. It has also advised that it will consider the sale of its non-core financial advice subsidiary, Spectrum Wealth Advisers.

Life insurer undertakes strategic review

JAMIE WILLIAMSON  |  THURSDAY, 6 SEP 2018
... life insurance, as well as income and loan protection. It is closely linked to boutique dealer group, Spectrum Wealth Advisers. Freedom will face the sixth round of the Royal Commission, commencing next week.

Morgan Stanley amends false independence claims

JAMIE WILLIAMSON  |  TUESDAY, 28 AUG 2018
... cease and amend false claims of independence. Two Paragem practices, an authorised representative of Spectrum Wealth Advisers and an authorised representative of Australian Financial Advisory Group were found to be making the claims online and in marketing ...

Freedom Insurance flags acquisition

KARREN VERGARA  |  THURSDAY, 24 AUG 2017
... premium. Indirect policy sales which include third-party brokers and advisers associated with the group's Spectrum Wealth Advisers business grew 15% to $6.1 million. In addition to sales growth, chief executive and managing director Keith Cohen said ...
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