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Showing 71 - 80 of 107 results for %22Australian Financial Services Pty Ltd%22

Adviser goes to jail for $1.5m fraud

RUTH LIEW  |  THURSDAY, 29 MAY 2008
... of Maddington, was yesterday sentenced to four years and eight months imprisonment following an investigation by the Australian Securities and Investments Commission (ASIC). According to ASIC, Pisano will serve a minimum of two years and eight months. ...

Adviser gets community service

RUTH LIEW  |  MONDAY, 14 APR 2008
... of unlawfully providing financial services advice on behalf of the company which did not hold an Australian financial services licence. He also pleaded guilty to two counts of inducing investors by making false, misleading or deceptive statements, to ...

Doja faces jail time

RUTH LIEW  |  MONDAY, 31 MAR 2008
... minimum of three years and eight months imprisonment in the Sydney District Court following an investigation by the Australian Securities and Investments Commission (ASIC) into Progressive Investment Securities and Capital Investments Group (Aust). On ...

Market Wrap - Midday

AAP  |  FRIDAY, 7 MAR 2008
The Australian stock market fell sharply today, losing three per cent of its value, as nervous investors dumped banking stocks amid signs the US sub-prime mortgage crisis is getting worse. Stocks in the US slid almost two per cent last night after data ...

Futures contracts director caught without AFSL

... futures contracts on the Sydney Futures Exchange, without either defendant being the holder of an Australian financial services licence (AFSL). The regulator has alleged that between January 2004 and March 2006, Oxford Investments and Moore ran training ...

ASIC to sue Westpoint

... groups, which it will allege did not comply with their obligations under the conditions of their Australian financial services licences and under the law. These licensees are Bongiorno Financial Advisors, Dukes Financial Services, Glenhurst, Masu Financial ...

End for scheme scamming Greek community

HAMISH MADDEN  |  FRIDAY, 2 FEB 2007
... business, carrying on a financial services business and providing financial services without an Australian Financial Services License (AFSL). They were ordered not to engage in any similar conduct. Jan Redfern, ASIC's executive director of enforcement ...

Perth adviser faces jail over $1.5m fraud

HAMISH MADDEN  |  THURSDAY, 18 JAN 2007
... financial adviser has had 12 new charges added to the 33 charges he was already facing over a $1.5 million fraud. The Australian Securities and Investments Commission (ASIC) brought the 12 new charges against Antonio Pisano in Perth Magistrates Court ...

ASIC bans building insurance broker

The Australian Securities and Investments Commission (ASIC) has banned former insurance broker Dennis Murvan Gentry, of Collingwood, Victoria from providing financial services for five years. ASIC found that Gentry engaged in dishonest and misleading ...

Financial mentor to be wound up

HAMISH MADDEN  |  THURSDAY, 31 AUG 2006
... ruled that director Andrew Carr had carried on a financial services business without holding an Australian Financial Services License (AFSL). The order to proceed with the winding up of the operation affects Nimshay Pty Ltd trading as Superior Wealth ...