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Showing 651 - 660 of 903 results for "Banned"

Perth mortgage broker permanently banned

LAURA MILLAN  |  THURSDAY, 18 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a Perth-based mortgage broker. An ASIC investigation found that he had falsified a letter stating finance approval had been provided for a client and then forwarded it ...

Bell Potter adviser banned for dishonest conduct

JAMES FERNYHOUGH  |  TUESDAY, 16 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned Bell Potter adviser Lawson Stuart Donald from providing financial services for dishonest conduct. Donald, who worked for the stockbroking firm between 2003 and 2008 ...

Perth broker gets 3 year ban for falsifying documents

LAURA MILLAN  |  FRIDAY, 12 JUL 2013
A Perth-based finance broker has been banned from financial services for three years after an investigation found he falsified documents to support the loan applications of his clients without their knowledge. Mathew David Schmelzkopf, of Kelmscott ...

ASIC slaps permanent ban on insurance claim manager

MARK SMITH  |  WEDNESDAY, 10 JUL 2013
ASIC has permanently banned a Victorian insurance claims manager from providing financial services after an investigation found he fraudulently pocketed more than $1 million. Travers David Loy, of Heathmont in Victoria, was the national claims manager ...

ASIC bans Gateway Financial adviser permanently

LAURA MILLAN  |  MONDAY, 8 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a former Gateway Financial adviser, which is an authorised representative of Titanium Planners. Joshua John Doyle from Bradbury, New South Wales, has been permanently ...

Adviser uses dead people to earn commission

JAMES FERNYHOUGH  |  FRIDAY, 5 JUL 2013
The Australian Securities and Investments Commission (ASIC) has permanently banned a Sydney financial adviser for using the names of dead and non-existent people to earn commissions on insurance applications. Pavan Vyas, an employee of Lionsgate Financial ...

Former Everest CEO banned from financial services

LAURA MILLAN  |  THURSDAY, 27 JUN 2013
Former chief executive of Everest Financial Group Jeremy Michael Reid has been banned from the financial services industry for two years. Reid has entered into an enforceable undertaking (EU) with the Australian Securities and Investments Committee ...

ASIC to face parliamentary inquiry over CBA

LAURA MILLAN  |  THURSDAY, 20 JUN 2013
... at least 1,300 clients and forged documents, created unauthorised investment accounts and overcharged fees. After ASIC banned Nguyen from the financial services industry from seven years, bank staff allegedly took part in a cover-up that included falsification ...

ASIC bans former CEO for 'misleading activities'

JAMES FERNYHOUGH  |  FRIDAY, 7 JUN 2013
Murray John Priestley, former chief executive of Lifestyle Group, has been banned from providing financial services for three years. The Australian Securities and Investments Commission (ASIC) found that Priestley had misled a client, when he guaranteed ...

PIPA suspends Money Choice director

JAMES FERNYHOUGH  |  MONDAY, 20 MAY 2013
... was found he had failed to comply with credit laws. The Australian Securities and Investment Commission (ASIC) last week banned George from engaging in credit activities for eight years. He also received a three-year ban from providing financial services. ...