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Showing 31 - 40 of 66 results for "Dover"

Former Dover, Securitor adviser banned

ELIZABETH MCARTHUR  |  THURSDAY, 18 APR 2019
An adviser formerly licenced by Dover Financial Advisers has been banned for failing to provide advice in the best interest of clients. Peter Anthony Chigwidden has been banned for five years following an ASIC investigation. Chigwidden licensed by Dover ...

Former Financial Wisdom adviser banned

KARREN VERGARA  |  THURSDAY, 21 MAR 2019
... years for life insurance churning. Geappen was licensed by Financial Wisdom from 2008 to 2016. In December 2016, he joined Dover Financial Advisers before jumping to Synchron in May 2018. According to ASIC FAR, Geappen ceased as an adviser in October ...

ASIC flags post-RC criminal prosecutions

JAMIE WILLIAMSON  |  WEDNESDAY, 20 FEB 2019
... investigation is required. This is in addition to the actions already commenced against NAB's Nulis and MLC, as well as Dover Financial Advisers and Terry McMaster. Aside from the Royal Commission case studies, ASIC is also looking into a number of instances ...

ASIC bans former NAB, CBA advisers

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... information received from Financial Wisdom. Geappen was licensed by Financial Wisdom from 2008 to 2016. In December 2016 he joined Dover Financial Advisers before jumping to Synchron in May 2018. According to ASIC FAR, Geappen ceased as an adviser in ...

Ten stories that defined the Royal Commission

HARRISON WORLEY  |  WEDNESDAY, 19 DEC 2018
... leadership of chair David Murray and chief Francesco De Ferrari with significant work ahead of them. Industry responds to Dover shutdown After a Royal Commission appearance that saw it revealed as the only large scale financial advice licensee to decline ...

ASIC takes Dover, McMaster to court

JAMIE WILLIAMSON  |  MONDAY, 17 SEP 2018
ASIC is taking Federal Court action against Dover Financial Advisers and Terry McMaster for allegedly misleading and deceiving clients. The corporate regulator commenced civil penalty action against the disgraced dealer group and its founder on September ...

Dealer groups lift due diligence post Dover

JAMIE WILLIAMSON  |  MONDAY, 17 SEP 2018
The sudden closure of Dover Financial Advisers saw a mad scramble by authorised representatives to secure alternative licensing arrangements. Hundreds were successful in doing so before the July 6 deadline, but latest ASIC Financial Adviser Register ...

Pressure mounts on regional advice

JAMIE WILLIAMSON  |  MONDAY, 23 JUL 2018
... of capital cities across the Charter and Hillross dealer groups. Meanwhile, the beginning of July saw the cancellation of Dover Financial Advisers' AFSL. Publicly available records show more than 80 of its 400 financial advisers managed to transition ...

Advisers demand self-licensing regime: Poll

KARREN VERGARA  |  MONDAY, 16 JUL 2018
... point "where the ship is going to turn over and individual financial advisers are going to take control." The collapse of Dover Financial Advisers left more than 400 advisers in need of a new dealer group. It also reignited the debate of having a more ...

Dover advisers turn orphans

JAMIE WILLIAMSON  |  FRIDAY, 6 JUL 2018
While there are Dover financial advisers that have managed to transition elsewhere in recent weeks, latest ASIC data shows hundreds of advisers will be without a licensee when the disgraced AFSL shutters today. Rainmaker analysis of ASIC's Financial ...