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Showing 191 - 200 of 243 results for "ASIC ban"

ASIC bans ABC LC auditor

BEN COLLINS  |  THURSDAY, 9 AUG 2012
The Australian Securities & Investments Commission has banned an ABC Learning Centres auditor from practicing for five years. The Australian Securities & Investments Commission (ASIC) said it has accepted an enforceable undertaking (EU) from Brisbane ...

ASIC bans Sydney adviser

LINDA HAUSKEN  |  WEDNESDAY, 18 JUL 2012
The Australian Securities & Investments Commission has banned Sydney based adviser Colin James Oberg from providing financial services after he withdrew over $1.55 million of client funds without approval. At the time of the offence, Oberg was a financial ...

ASIC bans unlicensed Sydney adviser

LINDA HAUSKEN  |  THURSDAY, 12 JUL 2012
Australian Securities & Investments Commission has permanently banned Sydney based adviser Ropati Broederlow after it found he acted dishonestly and made false and misleading statements in relation to financial products. Broederlow was also operating ...

ASIC bans adviser following fraud conviction

BEN COLLINS  |  TUESDAY, 24 APR 2012
The Australian Securities & Investments Commission has permanently banned Christos Papaioannou, also known as Chris Pappas, from providing financial services following his conviction on fraud charges in the Magistrates Court of Victoria. On 29 March ...

AAT confirms ASIC planner ban

ELISE BURGESS  |  FRIDAY, 16 MAR 2012
The Administrative Appeals Tribunal has agreed with ASIC's decision to ban former Commonwealth Financial Planner Don Nguyen from providing financial services for seven years. Nguyen of Dulwich Hill, New South Wales, was disqualified by the Australian ...

ASIC bans Victorian adviser

CLAIRE MCGREAL  |  FRIDAY, 2 MAR 2012
A former Victorian company director and adviser has been permanently banned from the industry after he withdrew more than $200,000 from client accounts over four months. ASIC found Nenad Petrovic, now living in Brisbane, acted dishonestly and contrary ...

ASIC bans authorised representative of Romad Financial Services

CLAIRE MCGREAL  |  TUESDAY, 8 NOV 2011
ASIC's clean-up of the financial services industry is continuing with the banning of a Melbourne-based authorised representative of Romad Financial Services. Rory Mor Macleod Deutsch of Box Hill North cannot provide financial services for four years ...

ASIC bans former Citibank manager

RACHEL DAVIS  |  TUESDAY, 20 SEP 2011
ASIC has permanently banned a former Citibank manager from providing financial services after an investigation found she conducted over 30 transactions without client authorisation. Victoria Cai, of Beverly Hills, New South Wales, was employed as a ...

ASIC bans adviser over deceptive conduct

RACHEL DAVIS  |  TUESDAY, 6 SEP 2011
A former Sydney-based financial adviser has been permanently banned from providing financial services after an ASIC investigation revealed he had engaged in misleading and deceptive conduct. James Edward Maurice Rowe was banned after ASIC found he had ...

Advisory firm directors may challenge ASIC ban

ALISON BEVEGE  |  THURSDAY, 7 JUL 2011
Two Seagrims directors are considering a legal challenge to a three-year ASIC ban imposed after clients lost money in funds associated with the Trio Capital superannuation fund fraud. ASIC said on Tuesday it was holding financial advisers to account ...