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Showing 511 - 520 of 891 results for "Banned"

ASIC hands down permanent and four year bans

KERRIE SYDEE  |  FRIDAY, 16 SEP 2016
ASIC has permanently banned a company director and has banned an alternative investment manager and director for four years. Steven Hill was permanently banned from engaging in credit activities and providing financial services after an ASIC investigation ...

ASIC hands down more permanent bans

JAMIE WILLIAMSON  |  WEDNESDAY, 14 SEP 2016
ASIC has permanently banned a former AMP financial planner from providing financial services, deciding he is "not of good fame and character." Rommel Panganiban of New South Wales, an authorized representative of AMP Financial Planning between 2010 ...

ASIC bans fraudulent broker

JAMIE WILLIAMSON  |  TUESDAY, 13 SEP 2016
ASIC has permanently banned a former Sydney finance broker. Jennifer Farias is now banned from engaging in credit activities and providing financial services after an investigation by the regulator and criminal action brought against her found she was ...

ASIC cancels AFSL, bans responsible managers

DARREN SNYDER  |  FRIDAY, 9 SEP 2016
... about the investment portfolio and the returns achieved to members of the public. As a result of the breaches, ASIC also banned the responsible managers of The Sharemarket College, Graeme Allan Rogers and Jill Rogers. Graeme was banned from providing ...

Ostrava wound up, directors banned

KERRIE SYDEE  |  FRIDAY, 2 SEP 2016
... winding up Ostrava Equities and eight other companies associated with the Ostrava financial services business. The court also banned Bradley Grimm and Vanessa Ash, who is lawyer formally employed by ASIC, from providing financial services for 20 and ...

ASIC bans former Macquarie advisers

JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2016
ASIC has banned two former Macquarie advisers from providing financial services. Anthony Jason Sourris and Sarah Kate Gardner have been banned for two and a half years and one year respectively after ASIC found they were both involved in, and lied to ...

ASIC bans ex-Macquarie Equities trader

ALEX BURKE  |  WEDNESDAY, 17 AUG 2016
ASIC has banned a former representative of Macquarie Equities for five years. Nicholas Kerr worked for Macquarie Equities from 2008 to 2013; during that time, ASIC alleged he engaged in unauthorised discretionary trading on five client accounts, as ...

ASIC bans jailed former advice director

JAMIE WILLIAMSON  |  MONDAY, 15 AUG 2016
ASIC has permanently banned the former director of an insurance broking company after being found guilty of seven counts of dishonestly obtaining a financial advantage from the Commonwealth by deception. In April Timothy Charles Pratten was sentenced ...

AAT upholds ASIC adviser ban

KERRIE SYDEE  |  FRIDAY, 12 AUG 2016
... Tribunal (AAT) has upheld a decision to permanently ban a Sydney finance broker. Shiv Sahay of Lidcombe NSW, was permanently banned from providing financial services and engaging in credit activity following an ASIC investigation which led to Sahay being ...

Keybridge appoints new director

ALEX BURKE  |  THURSDAY, 11 AUG 2016
... by John Bolton, [who is] the father of Nicholas Bolton." Nicholas Bolton is Keybridge's former managing director; he was banned by ASIC in December 2015 from acting as a company director for three years.