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Showing 221 - 230 of 243 results for "ASIC ban"

ASIC bans Westpoint planner

MICHAEL HOBBS  |  THURSDAY, 19 JUN 2008
The Australian Securities & Investments Commission (ASIC) banned Western Australian financial adviser David Liddicoat from providing financial services for three years after he misled clients on Westpoint investments. Liddicoat provided financial planning ...

Life ban for adviser after altering codes

RUTH LIEW  |  THURSDAY, 17 JAN 2008
Disgraced Tasmania-based financial adviser Adam Grant has been permanently banned from providing financial services after being caught manipulating broker codes to siphon commission payments. ASIC banned Grant, who was employed with Shadforths Limited ...

Bannned AFS planner to appeal

CHRIS NICHOLLS  |  MONDAY, 24 SEP 2007
AFS has expressed disappointment over the Australian Securities and Investments Commission decision to ban one of its advisers, Michael Parker, and said it will support his appeal to the Administrative Appeals Tribunal. ASIC banned Parker after it found ...

ASIC bans Tweed but can't stop off-market traps

HAMISH MADDEN  |  FRIDAY, 3 NOV 2006
David Tweed, the perennial off-market shareholder predator, has been banned by the Australian Securities and Investments Commission (ASIC) from providing financial services. ASIC banned Tweed for his role relating to two offers to acquire holdings from ...

ASIC bans building insurance broker

The Australian Securities and Investments Commission (ASIC) has banned former insurance broker Dennis Murvan Gentry, of Collingwood, Victoria from providing financial services for five years. ASIC found that Gentry engaged in dishonest and misleading ...

ASIC bans ex-Genesys adviser

The Australian Securities and Investments Commission (ASIC) has banned financial adviser, Mark Leigh Clifton, a former authorised representative of Genesys Wealth Advisers, from providing financial services for 10 years. Clifton was a NSW-based authorised ...

ASIC bans broker and adviser for life

HAMISH MADDEN  |  MONDAY, 14 AUG 2006
The Australian Securities and Investments Commission (ASIC) has imposed permanent bans on an insurance broker and a former ANZ Bank adviser for syphoning off significant amounts of money. Former insurance broker Dennis Whittaker, who was general manager ...

ASIC bans two for their part in failed businesses

HAMISH MADDEN  |  FRIDAY, 30 JUN 2006
Two New South Wales directors have been disqualified from acting as company directors by the Australian Securities and Investments Commission (ASIC) after their involvement in failed companies. ASIC has banned Craig West, a certified practicing accountant ...

Two directors cop ASIC bans

HAMISH MADDEN  |  MONDAY, 19 JUN 2006
Two directors have been banned from providing any financial services for three years following an investigation by the Australian Securities and Investments Commission (ASIC). Brian Forshaw and Guiscardo Bottari, both operating out of Melbourne, have ...

ASIC bans SMSF adviser

The Australian Securities and Investments Commission (ASIC) has moved to shut down a self managed super fund adviser after it was found the adviser had conducted business without an Australian financial services licence (AFSL) and provided misleading ...