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Showing 531 - 540 of 902 results for "Banned"

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.

Wilson explains Aurora fund wind-up proposal

ALEX BURKE  |  THURSDAY, 4 AUG 2016
... to fame in his mid-twenties after his involvement in the Macquarie-backed BrisConnections toll road project, and who was banned by ASIC in December 2015 from acting as a company director for three years. "In light of these changes, [Wilson] believes ...

Unlicensed product adviser receives four year ban

KERRIE SYDEE  |  THURSDAY, 28 JUL 2016
ASIC has banned a New South Wales man from providing financial services for four years after it was found he had unlawfully carried on an unlicensed financial services business. Ronald Cross, chief executive and director of Park Trent Properties Group ...

ASIC hands down multiple bans

KERRIE SYDEE  |  WEDNESDAY, 27 JUL 2016
ASIC has permanently banned one adviser and handed temporary bans to two others, one of which was formerly employed by Australian and New Zealand Banking Group (ANZ). Craig Miller, formerly of Malanda in North Queensland, was employed by ANZ as a financial ...

AAT reduces adviser ban

KERRIE SYDEE  |  MONDAY, 20 JUN 2016
... reviewing ASIC's decision, the AAT decided to reduce Atish Prasad's ban from three years to 18 months. Prasad was initially banned in April 2015, after ASIC found he was not "adequately trained or competent to provide a financial service." In particular ...

ASIC ban upheld, investment banker jailed

KERRIE SYDEE  |  MONDAY, 6 JUN 2016
... adviser from providing financial services for five years. Former Meritum Financial Group adviser, Alfie Chong, was initially banned by ASIC for a range of misconduct issues including: providing inappropriate advice, failing to determine clients' relevant ...

ASIC permanently bans ex-HSBC, ANZ planners

KERRIE SYDEE  |  MONDAY, 30 MAY 2016
ASIC has permanently banned two financial advisers, one from HSBC and the other from ANZ. Tak Simson Kwok was employed by HSBC Bank Australia (HSBC) from 29 September 2009 to 16 December 2013 and was responsible for providing financial advice to HSBC ...

Banned SMSF adviser charged for misappropriating $1.8m

ALEX BURKE  |  FRIDAY, 20 MAY 2016
... funds, not holding them in a designated account and not using them for the purposes of a property purchase. Nowak was also banned from providing financial services by ASIC back in March 2015 after the collapse of the Charterhill Group. The regulator ...

Banned former CBA planner charged with forgery

MARK SMITH  |  TUESDAY, 17 MAY 2016
A banned former Commonwealth Financial Planning adviser has been charged for forging client documents. Following an ASIC investigation, Gold Coast man Ricky David Gillespie, 38, has appeared in the Southport Magistrates Court on one rolled-up charge ...

ASIC makes two permanent bans

KERRIE SYDEE  |  FRIDAY, 13 MAY 2016
ASIC has permanently banned a former AFS licensee employee and former chairman of collapsed lender Wickham Securities and founder of Sherwin Financial Planners (in liquidation), from providing financial services. Former AFS licensee employee Nicolai ...