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Showing 41 - 50 of 66 results for "Fame"

ASIC bans Deutsche Bank trader

KERRIE SYDEE  |  THURSDAY, 29 SEP 2016
... relation to a financial product, that his conduct was extremely serious and that ASIC had reason to believe he was not of good fame or character. Donaldson's conduct was detected by Deutsche Bank and reported to ASIC. Deutsche Bank has since conducted ...

Another former AMP planner cops ban

JAMIE WILLIAMSON  |  WEDNESDAY, 21 SEP 2016
... advice in 2013 and prioritized his own best interests over that of the client. ASIC also claimed O'Rourke was "not of good fame and character" as he borrowed over $2 million from clients and others and did not ensure clients were provided with independent ...

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 and ...

Wilson explains Aurora fund wind-up proposal

ALEX BURKE  |  THURSDAY, 4 AUG 2016
... Bolton, [who is] the father of Nicholas Bolton." Nicholas Bolton is the former managing director of Keybridge who shot to fame in his mid-twenties after his involvement in the Macquarie-backed BrisConnections toll road project, and who was banned by ...

ASIC permanently bans ex-HSBC, ANZ planners

KERRIE SYDEE  |  MONDAY, 30 MAY 2016
... believed was a HSBC AP annuity investment. In permanently banning Kwok, ASIC found reason to believe that he was not of good fame or character. Former ANZ adviser Kenneth David Drake was banned after pleading guilty and being convicted of two counts ...

Australian Ethical named best international equities fund

JAMES FERNYHOUGH  |  WEDNESDAY, 15 OCT 2014
... award. L1 Capital's Lev Maregolin was named best fund management analyst, while Perennial Value's John Murray won the Hall of Fame accolade.

ASIC bans person who made false Facebook investment claims

JAMES FERNYHOUGH  |  THURSDAY, 25 SEP 2014
... (ASIC) found that Ishan Seenar Sappideen of Bellevue Hill "misled investors, created false documents and was not of good fame or character." ASIC found that Sappideen persuaded investors to invest $500,000 but did not use the funds for the deal involving ...

ASIC puts hold Custom Wealth's AFSL

STAFF WRITER  |  TUESDAY, 22 JUL 2014
... of the money being returned to investors. "ASIC has determined to permanently ban Mr Tu on the grounds he is not of good fame or character," the regulator said.

ASIC bans former PIS and AMP advisers

LAURA MILLAN  |  MONDAY, 23 JUN 2014
... adviser Grant Patrick Thompson. Thompson was banned after ASIC determined it had "reason to believe that he is not of good fame and not of good character." The regulator found that between at least November 9, 2012, and July 16, 2013, Thompson engaged ...

Westpac exec gets ASIC ban after preying on elderly's finances

ALICE URIBE  |  WEDNESDAY, 12 MAR 2014
... the regulator determined that St Pierre was not a fit and proper person to engage in credit activities and was not of good fame or character, making him an unsuitable person to provide financial services. ASIC Commissioner Peter Kell said St Pierre's ...