Search Results | Showing 701 - 710 of 903 results for "Banned" |
| | | 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). ... |
| | | | 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 ... |
| | | | 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 ... |
| | | | ... 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 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | 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 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 ... |
|