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Showing 11 - 15 of 15 results for "Don Nguyen"

ASIC to face parliamentary inquiry over CBA

LAURA MILLAN  |  THURSDAY, 20 JUN 2013
... Fairfax Media that revealed that it took 16 months for ASIC to act in the case involving Commonwealth Financial Planner Don Nguyen. "People had gone to the regulator with evidence of forged documents, but while it dithered, Nguyen went on his merry way ...

Another Commonwealth Financial Planning adviser banned

BEN COLLINS  |  MONDAY, 12 NOV 2012
... CFPL," said Kell. This latest outcome follows ASIC enforcement action against other former CFPL financial advisers, Don Nguyen, Simon Langton, Christopher Baker, Anthony Awkar, Jane Duncan and Joe Chan. On 25 October 2011, ASIC accepted an enforceable ...

Commonwealth FP adviser banned

LINDA HAUSKEN  |  TUESDAY, 5 JUN 2012
... industry. The EU follows an investigation into the advice provided by several of CFPL's financial advisers including Don Nguyen, Simon Langton, Christopher Baker, Anthony Awkar, and Jane Duncan. CFPL is a wholly owned subsidiary of the Commonwealth Bank ...

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 slaps seven-year ban on planner

ELISE BURGESS  |  FRIDAY, 11 MAR 2011
... Australian Securities and Investments Commission (ASIC) has banned former Commonwealth Financial Planning (CFP) adviser, Don Nguyen, from providing financial services for seven years. Nguyen worked as a financial adviser at CFP between 1 October 2003 ...
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