Search Results | Showing 21 - 30 of 98 results for "Macquarie Equities" |
| | An authorised representative of Macquarie Equities Limited (MEL) has been banned for six years after the regulator found that he forged client documents. Shawn Hickman engaged in unauthorised discretionary trading on his clients' accounts between November ... |
| | | Macquarie Equities Limited advice files have gaps and require further testing, the Australian Securities and Investments Commission (ASIC) said as the two year enforceable undertaking (EU) into the organisation's advice arm comes to an end. "While there ... |
| | | Macquarie Equities Limited (MEL) must contact all clients who received advice from its financial planning arm, Macquarie Private Wealth (MPW), going back to 2004 following action from the regulator. Under the enforceable undertaking (EU) in place since ... |
| | | ... such as Macquarie Private Wealth." The document referred to lending practices between 2002 and 2010 within Macquarie Equities Limited and Macquarie Private Wealth. "The committee found that some of Australia's banking institutions turned a blind eye ... |
| | | ... misappropriation, theft and fraud. Individuals and entities ASIC took action against in the six months include Macquarie Equities, Suncorp, former Bill Express CFO Peter Couper, Wickham Securities and former Lonsec managing director Norman Graham. |
| | | ... the clear risk in this current environment that they are unable to be fully translated to the bottom line," a Macquarie Equities Research paper noted earlier this week. WHK Group could hold out for improved terms, "but given the larger than usual bias ... |
| | | ... points on Tuesday. In equities news, the first directions hearing is expected in the Federal Court case against Macquarie Equities for alleged market manipulation of shares in Bill Express. In Australia, the market on Thursday closed marginally lower ... |
| | | ... firms were Bell Potter Securities, Commonwealth Securities, MF Global Australia, Morrison Securities, UBS AG, Macquarie Equities and Australian Investment Exchange. The ASX will continue to discipline brokers for breaches of the rules made before August ... |
| | | ... including Merrill Lynch in the equity structured solutions business, roles with ANZ Securities, BZW Australia and Macquarie Equities. Brant continues to work at Link Capital as managing director, a firm that sources investment solutions and wealth creation ... |
| | | Former Macquarie Equities client adviser Newton Chan has been sentenced to a 20-month imprisonment term - serving four months immediately before being released on a recognisance release order - for share price manipulation. He was sentenced in the Supreme ... |
|