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Showing 231 - 240 of 243 results for "ASIC ban"

ASIC bans financial planner in the west

The Australian Securities and Investments Commission (ASIC) has permanently banned Geoffrey Sanders from providing financial services after it determined there was a realistic likelihood he would not adhere to financial services laws in the future. ...

ASIC bans Queensland advisor

The Australian Securities and Investments Commission (ASIC) has banned a Queensland financial advisor from providing any financial services. "ASIC's decision serves as a warning that dishonest conduct will not be tolerated and a lifetime ban will be ...

ASIC bans unlicensed advisers

The Australian Securities and Investments Commission (ASIC) has stepped up its campaign against illegal early access to super by obtaining permanent injunctions to prevent Manito Pty Ltd and Steven Preston from providing unlicensed superannuation advice. ...

ASIC bans accountant for good

ASIC has banned Ramon Osborne from providing financial services permanently because he is insolvent under administration and the regulatory authority had serious concerns over his ability to comply with financial service laws in the future. Osborne ...

Market produce company director banned

ASIC has banned Kimball John Andrews from managing corporations for 18 months after their investigation found Market Produce Movers (Market Produce) and Freight 1 Australia (Freight 1), companies where Mr Andrews was a director, failed to pay creditors ...

ASIC bans options broker and adviser for 5 years

AAP  |  FRIDAY, 1 OCT 2004
An unlicensed financial adviser and a former options broker have been banned from providing financial services for five years over a failed trading strategy that cost nearly 100 clients $15 million. The Australian Securities and Investments Commission ...

Pineapple executive pleads guilty to ASIC charges

The executive chairman of Sunshine Coast tourist icon The Big Pineapple has pleaded guilty to three counts of managing a corporation while disqualified, following an Australian Securities and Investments Commission (ASIC) investigation. In 1998, ASIC ...

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 ...