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Showing 511 - 520 of 600 results for "Authorised Representative"

DKN acquires 25pc in Godfrey Pembroke firm

ELISE BURGESS  |  FRIDAY, 10 JUN 2011
... strategy to acquire minority stakes in growing firms, with Sydney-based StrategyOne recently appointed authorised representative of the dealer group Lonsdale Financial Group, which was acquired by DKN in 2007. "We are actively looking for new firms to ...

Signature scam adviser banned for life: ASIC

ALISON BEVEGE  |  FRIDAY, 27 MAY 2011
... has the right to appeal against the decision to the Administrative Appeals Tribunal. King worked as an authorised representative of Australian Stockbroking and Advisory Services (ASANDAS) from 2006 to 2008, and was also a director of Stripe Capital ...

Fraud adviser banned for life

ALISON BEVEGE  |  MONDAY, 23 MAY 2011
... he used for his own personal benefit, ASIC said today. Bean had been a securities representative and authorised representative of charter Financial Planning from 2003 to 2010. Charter Financial Planning became suspicious and called in financial services ...

Bans hit bad planners: ASIC

ALISON BEVEGE  |  THURSDAY, 12 MAY 2011
... The Sydney-based adviser withdrew the money from 2002 to 2008. But he came undone when he became an authorised representative for Bridges Financial Services in 2007. The firm soon became suspicious and reported him to the corporate watchdog. ASIC banned ...

ASIC bans "deceptive" planner for five years

ALISON BEVEGE  |  FRIDAY, 6 MAY 2011
... Weaver organised margin loans for clients and advised them on the placement of the funds. Weaver was an authorised representative of Enhance Capital in 2004 and The Salisbury Group from 2004 to 2010. Weaver may not provide financial services for five ...

Licensee tests offer planners protection

MATT WOODINGTON  |  THURSDAY, 28 APR 2011
... when the licensee is held responsible for the advice delivered and by consequence holds the individual authorised representative responsible, through their business rules, for the quality of advice that gets delivered," said Englund. "It's the very reason ...

My Adviser takeover brings new managing director

ALISON BEVEGE  |  WEDNESDAY, 27 APR 2011
Financial planning dealership My Adviser has named Philippa Sheehan as its new managing director in a generational change prompted by the friendly takeover by Plan B. Current managing director, Michael Summers, said he would withdraw from the role as ...

AXA name adviser of the year

ELISE BURGESS  |  WEDNESDAY, 27 APR 2011
AXA Financial Advice Network has awarded Paul Aspros of PSK Financial Services, the national annual adviser Gerald Lippman Perpetual Trophy. Aspros, practice principle of Sydney based PSK Financial Services and licensed by Charter Financial Planning ...

West takes east-coast planners

ALISON BEVEGE  |  WEDNESDAY, 27 APR 2011
West Australian wealth management firm Plan B has begun a friendly takeover of financial planning dealership My Adviser, opening the door to a large network of eastern state advisory businesses. The My Adviser network has 54 advisory firms with 122 ...

Adviser banned for life by ASIC

ASIC RELEASE  |  WEDNESDAY, 20 APR 2011
... that there was reason to believe that he would not comply with this law in the future. Veitch was an authorised representative of WealthSure from 14 December 2005 to 23 February 2010. Veitch can appeal the decision.