Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 211 - 220 of 243 results for "ASIC ban"

ASIC bans planner pushing dodgy docos

ASIC RELEASE  |  THURSDAY, 14 JAN 2010
A financial adviser who gave his clients false disclosure documents was slapped with a five-year ban from providing financial services. ASIC has banned Joshua David Fuoco of Prahran, Victoria from providing financial services after the regulator's investigation ...

ASIC bans Firepower adviser

ASIC RELEASE  |  FRIDAY, 10 JUL 2009
ASIC has banned another adviser Quentin Ward from providing financial services for eight years after an investigation into his involvement in Firepower investments. ASIC banned Ward after an investigation into his dealings in the sale of Firepower Holdings ...

ASIC bans Macquarie rumourmonger

MEDIA RELEASE  |  TUESDAY, 24 MAR 2009
The Australian Investments and Securities Commission (ASIC) has banned Richard Macphillamy from providing financial services for 18 months after he spread false rumours about Macquarie Group and one of firm's products. The regulator banned Macphillamy ...

Toowoomba planner banned

RUTH LIEW  |  FRIDAY, 7 NOV 2008
Desmond Blinco of Toowomba has been banned by the Australian Securities and Investments Commission from providing financial services for 15 months after evidence emerged that he is an undischarged bankrupt. ASIC banned Blinco because of his undischarged ...

Trader caught shorting despite ban

MICHELLE BALTAZAR  |  FRIDAY, 7 NOV 2008
A Victorian-based trader could face more than two years in jail when he shorted certain stocks despite the regulator's interim short selling ban. ASIC alleged that between 28 May and 24 October 2007, Giovanni Spagnolo of Northcote, Victoria sold shares ...

ASIC bans former Money Matters adviser

ASIC STATEMENT  |  MONDAY, 1 SEP 2008
Victoria-based Ian Bristow, one of the financial advisers who recommended Westpoint products to clients, has been banned from providing financial services for six years following a long drawn out ASIC investigation. ASIC alleged that Bristow "dishonestly" ...

ASIC bans unlicensed Westpoint adviser

MICHAEL HOBBS  |  WEDNESDAY, 30 JUL 2008
The Australian Securities and Investments Commission (ASIC) banned Gold Coast based, Russell Sheppard from providing financial services for eight years after the regulator found he provided unlicensed advice on Westpoint products. The regulator found ...

ASIC bans three Westpoint planners

MICHAEL HOBBS  |  WEDNESDAY, 9 JUL 2008
The Australian Securities and Investments Commission (ASIC) banned three more financial planners involved in misleading clients on Westpoint products from providing financial services. The regulator banned New South Wales based Timothy Harrison from ...

ASIC bans Westpoint adviser

MICHAEL HOBBS  |  MONDAY, 7 JUL 2008
The Australian Securities and Investments Commission (ASIC) banned Perth-based planner David Roy from providing financial services for seven years after it found he misled clients on Westpoint products. The regulator found between 1998 and 2005, Roy ...

ASIC bans Oxford Investments

MICHAEL HOBBS  |  WEDNESDAY, 2 JUL 2008
The Australian Securities & Investments Commission (ASIC), backed by the Federal Court of Australia, banned Tasmanian based Oxford Investments Tasmania and its sole director for advising on financial products for 10 years. As a result, the firm and ...