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Showing 31 - 40 of 88 results for "Charter Financial Planning"

De Ferrari unaware of legal action

ELIZA BAVIN  |  THURSDAY, 13 FEB 2020
... file charges against AMP Life, AMP Financial Planning and two of its financial planning subsidiaries; Charter Financial Planning and Hillross Financial Planning. Shine said it was investigating whether the group's financial advisers breached their fiduciary ...

AMP faces fresh class action

ALLY SELBY  |  WEDNESDAY, 12 FEB 2020
... charges against AMP Life Limited, AMP Financial Planning and two of its financial planning subsidiaries Charter Financial Planning and Hillross Financial Services. The class action, which will claim AMP and subsidiary advisers received commissions and ...

ASIC bans former Charter, NAB adviser

KANIKA SOOD  |  WEDNESDAY, 8 JAN 2020
A financial adviser who worked for AMP's Charter Financial Planning and NAB's GWM Adviser Services has been handed a four-year ban after the regulator reviewed a sample of his client files. David O'Brien failed to consider his clients' ...

Senior lawyer drags AMP to court

KANIKA SOOD  |  THURSDAY, 24 OCT 2019
... certain colleagues and superiors within the group. In particular, she names Brian Salter, Jack Regan, Charter Financial Planning managing director Neil Swindells, AMP Advice chief risk officer Pally Bargri. Cook says the treatment from the above amounts ...

Former AMP adviser pleads guilty

JAMIE WILLIAMSON  |  WEDNESDAY, 8 MAY 2019
... and for other purposes, the regulator found. At the time, Martin was an authorised representative of Charter Financial Planning, owned by AMP. He was also previously licensed by now-defunct The Salisbury Group. Martin is due to be sentenced on August ...

ASIC takes financial planner to court

KANIKA SOOD  |  TUESDAY, 3 JUL 2018
... companies. Gordon was previously licensed by AMP's Genesys Wealth Advisers from 2010 to 2014; and Charter Financial Planning between 2005 and 2010. Separately, ASIC is forcing Goldman Sachs Australia to pay $500,000 into a community fund and accepted ...

ASIC bans former AMP adviser

HARRISON WORLEY  |  MONDAY, 4 JUN 2018
ASIC's wealth management project has banned a former Charter Financial Planning adviser for five years. Desmond Luplau has copped a five-year ban on the provision of financial services from the regulator for failing to act in the best interests of his ...

Managing Director departs AMP-backed planning network

HARRISON WORLEY  |  MONDAY, 4 JUN 2018
... funds under advice has resigned. AMP confirmed the departure of Neil Swindells, managing director at Charter Financial Planning. Swindells was appointed as managing director in restructure of AMP's advice businesses in March 2017. His resignation follows ...

ASIC hits former NAB adviser with permanent ban

ALEX BURKE  |  WEDNESDAY, 18 APR 2018
... behalf. During this time, he was an authorised representative of The Salisbury Group and AMP-aligned Charter Financial Planning.

AMP admits to serious misconduct in RC submissions

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
... practices; more than half are licensed with AMP Financial Planning, with about 1000 licensed through Charter Financial Planning or Hillross Financial Services. Follow Financial Standard for ongoing coverage of the financial services Royal Commission ...