Search Results | Showing 71 - 80 of 138 results for "ASIC bans" |
| | | A financial adviser linked with National Australia Bank (NAB) owned Meritum Financial Group has been banned for six years by the Australian Securities and Investments Commission (ASIC). NAB has welcomed ASIC's action against Mark Tidbury after the bank ... |
| | | | ASIC has permanently banned an auditor from providing services to self-managed superannuation funds. Based in Sydney, Abe Samuel was found to have breached independence requirements by the regulator, specifically by auditing a fund of which he was a ... |
| | | | ASIC has permanently banned a former self-managed superannuation fund adviser. Marion Joan Pearson, who provided SMSF advice to clients from November 2007 to October 2013, now resides in New Zealand. She is the sole director of and shareholder in Colisa ... |
| | | | ASIC has permanently banned an adviser formerly with a Westpac-aligned licensee. Amanda Ritchie was an authorised representative of Magnitude Group, a Westpac subsidiary, from February 2013 to August 2014. Westpac terminated her employment in August ... |
| | | | ASIC has banned a former Genesys financial adviser. Lukas Zelka was an authorised representative of AMP-owned Genesys Wealth Advisers from 2009 to 2011; after working at Jigsaw Support services for a year, he moved to another AMP licensee, Charter Financial ... |
| | | | ASIC has banned a former adviser from Meritum Financial Group, which is wholly owned by NAB. Alfie Chong worked at Meritum from September 2005 to March 2006, and then July 2007 to June 2014. During that time, ASIC has alleged that Chong engaged in a ... |
| | | | ASIC has permanently banned an insurance adviser and disqualified an SMSF auditor. Abhinav Gupta provided insurance advice via ACE Insurance's Victorian Combined Insurance division from October 2013 to May 2014. He was not a salaried employee of Combined ... |
| | | | ASIC has banned a life insurance adviser from former Macquarie Group subsidiary Risk Advice Specialists. Risk Advice Specialists, which described itself as "100% backed by Macquarie," was a boutique risk-focused dealer group established in 2012. It ... |
| | | | Former director of failed company Provident Capital has been banned from providing financial services for two years. The Australian Securities and Investments Commission (ASIC) found that John Patrick Sweeney failed to comply with financial services ... |
| | | | The Australian Securities and Investments Commission (ASIC) recently banned a former Macquarie Entities representative from providing financial services for five years. The ban was given to Brett O'Malley of Sunshine Beach, Queensland, after he engaged ... |
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