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Showing 481 - 490 of 600 results for "Authorised Representative"

ASIC cancel Morrison Carr AFSL

LINDA HAUSKEN  |  TUESDAY, 31 JUL 2012
Australian Securities & Investments Commission has cancelled the Australian financial services and credit license of Morrison Carr Financial Services following a surveillance of the national planning business The sole director of Morrison Carr Financial ...

ASIC bans Sydney adviser

LINDA HAUSKEN  |  WEDNESDAY, 18 JUL 2012
... million of client funds without approval. At the time of the offence, Oberg was a financial adviser and authorised representative of Wealthsure Financial Services. Australian Securities & Investments Commission (ASIC) said he withdrew his client's funds ...

Former adviser pleads guilty to dishonest dealings

LINDA HAUSKEN  |  TUESDAY, 3 JUL 2012
... dealings with documents. The offences occurred between May 2005 and October 2008 while Carll was an authorised representative of Financial Wisdom and Financial Planning Services Australia. Each offence carries a maximum penalty of 10 years' imprisonment. ...

Count counts more advisers

MELANIE TIMBRELL  |  FRIDAY, 29 JUN 2012
Count Financial added nine practices and 24 new Authorised Representatives in June. Count has attributed the growth to a recent restructure that saw the appointment of Judy Clark as senior executive for practice development in April and an increase ...

Adviser pleads guilty to dishonest conduct

LINDA HAUSKEN  |  WEDNESDAY, 27 JUN 2012
... premium payments in an effort to hide the conduct. At the time of the dishonest conduct Heathwood was an authorised representative of Guardian Financial Planning and an employee of Jalee Consulting Group where she provided financial advice and arranged ...

ALI penalised after compliance failures

BEN COLLINS  |  WEDNESDAY, 20 JUN 2012
The Australian Securities & Investments Commission has imposed additional compliance conditions on Sydney-based insurance group, Australian Life Insurance Distribution Pty Ltd for failing to comply with a number of its obligations as an Australian financial ...

Financial adviser sentenced on fraud charges

LINDA HAUSKEN  |  WEDNESDAY, 23 MAY 2012
... senior financial adviser employed by Binma which operates the North Sydney firm Noall & Co and was an authorised representative of Professional Investment Services. The Court found that between March 2008 and August 2008 Hobson misappropriated $307,000 ...

ASIC bans adviser following fraud conviction

BEN COLLINS  |  TUESDAY, 24 APR 2012
... Papaioannou's fraud convictions, which were brought by the Victoria Police, arose from conduct while he was an authorised representative of BDO Kendalls Wealth Management (Vic) Pty Ltd (as it then was). Papaioannou withdrew, without authorisation, funds ...

ASIC strikes against currency trader

MELANIE TIMBRELL  |  TUESDAY, 3 APR 2012
... times falsified documents relating to products provided to clients. Since 2004, Hassell has been an authorised representative at different times for Pivotal Financial Advisers Ltd, Guardian FP Ltd, AAA Shares Pty Ltd, AAA Financial Intelligence Ltd and ...

AAT confirms ASIC planner ban

ELISE BURGESS  |  FRIDAY, 16 MAR 2012
... in March 2011 after it found he failed to comply with financial services laws during his time as an authorised representative for Commonwealth Financial Planning Limited (CFP) between October 2003 and July 2009. These breaches included failure to have ...