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Showing 701 - 710 of 903 results for "Banned"

Former Stonebridge broker banned for three years

RACHEL DAVIS  |  MONDAY, 12 MAR 2012
ASIC has banned Pawel Kulisiewicz, of Pyrmont in New South Wales, from providing financial services for three years. The banning follows an investigation into Kulisiewicz's conduct while he was a broker at StoneBridge Securities Limited (StoneBridge). ...

Adviser banned for chasing commissions

ELISE BURGESS  |  WEDNESDAY, 7 MAR 2012
ASIC has permanently banned a Sydney financial adviser after it was found she falsified more than 60 insurance policies in order to collect the consequent commissions. Susan Heathwood, of Randwick, was an authorised representative of GuardianFP from ...

ASIC bans Victorian adviser

CLAIRE MCGREAL  |  FRIDAY, 2 MAR 2012
A former Victorian company director and adviser has been permanently banned from the industry after he withdrew more than $200,000 from client accounts over four months. ASIC found Nenad Petrovic, now living in Brisbane, acted dishonestly and contrary ...

ASIC to take hard line on deliberately misleading ads

CLAIRE MCGREAL  |  WEDNESDAY, 15 FEB 2012
... commission had already succeeded in removing some of the "bad apples of poor products" from the industry, with nearly 120 ads banned or changed since July 2010. But he said going forward penalties would be harsher for ads that ASIC didn't perceive to ...

Astarra auditor banned for three years

ELISE BURGESS  |  FRIDAY, 10 FEB 2012
Astarra Strategic Fund auditor, Timothy Frazer, is prevented from auditing companies for three years, after ASIC accepted an enforceable undertaking that he would not act as a registered company auditor during that time. The Australian Securities and ...

ASIC continues Trio crackdown

CLAIRE MCGREAL  |  THURSDAY, 2 FEB 2012
... banning of another figure with ties to the firm. Tony Maher, who changed his name from Paul Gresham, has been permanently banned from working in the Australian financial services industry or managing a corporation. The Australian Securities Investment ...

ASIC cancels two financial services licences

CLAIRE MCGREAL  |  FRIDAY, 25 NOV 2011
... and whether statements of additional advice provided by him contained all required information. Fuoco has already been banned from providing financial services for five years. "The action to cancel FPIP's AFS licence is part of ASIC's focus to improve ...

ASIC imposes permanent ban on fin services provider

ELISE BURGESS  |  WEDNESDAY, 23 NOV 2011
... Stephen Hawa, previously found guilty of serious fraud and sentenced to serve time in prison, has also been permanently banned from providing financial services by ASIC. On April 4 this year, Hawa was convicted of four counts of obtaining money by deception ...

Planner banned as watchdog continues industry clean-up

CLAIRE MCGREAL  |  TUESDAY, 11 OCT 2011
ASIC is continuing its clean up of the financial services sector with the banning of another Sydney based planner. Stephen Paul Hing of Enmore has been barred from providing financial services for four years after an investigation revealed he took part ...

Banned adviser faces jail term

ELISE BURGESS  |  TUESDAY, 27 SEP 2011
Banned South Australian financial adviser, Trevor Wayne Carll, is facing 28 charges from ASIC, including deception, with a possible jail time of ten years for each offence. Carll, of Port Pirie, South Australia, was banned from the industry in February ...