Search Results | Showing 81 - 90 of 789 results for %22Banned%22 |
| | | ... Sherwal. Sherwal, who was an authorised representative of six different licensees over the past seven years, was originally banned in June 2021 from providing financial services and performing any function in a financial services business for a period ... |
| | | | ... August, Florida Governor Ron DeSantis and the trustees of the US$253.1 billion State Board of Administration (SBA) have banned ESG from considerations of the state's fund management practices. DeSantis and the two other trustees of the SBA, state ... |
| | | | MPG Funds Management Limited (MPG) has been banned from offering or distributing two of its property trusts to retail investors because of poor target market determinations (TMDs). The interim stop orders, implemented by ASIC, prohibit MPG from issuing ... |
| | | | ... personal advantage. In handing down the sentence, the judge took into consideration the fact that Thomas had already been banned from managing a corporation for five years and his guilty plea. The judge said that while there was no investor loss, Thomas' ... |
| | | | ASIC has banned former financial adviser Richard Thomas Marshall from providing financial services for six years, and his wife Gwenda Jean Marshall for three years for operating unlicensed and removing money from a deceased client's account. An ASIC ... |
| | | | ASIC has banned former responsible manager of over-the-counter derivatives provider Sirius Financial, Mark Bringans, for eight years. Bringan's banning follows an ASIC investigation into the firm, which agreed to wind down its retail and wholesale operations ... |
| | | | ... SMSFs had been audited, and charging them for the audit, even though an audit had not been completed. The pair have been banned from practice as they no longer meet the tax practitioner registration requirement of being a fit and proper person. SMSFs ... |
| | | | ... Dover and Interprac financial adviser who was found to be unfit to operate in the industry in any capacity was permanently banned by the regulator. ASIC said James Carlos Reynolds purported to offer 'lifestyle' financial advice as sole director of Totem ... |
| | | | ... director Peter Gribble for failing to pay $2.5 million in Australian Financial Complaints Authority determinations. Gribble is banned from controlling a financial services business or being an officer of one after two companies of which he was a director ... |
| | | | ... investors by IG Markets. It also alleges IG Markets facilitated the trades without adequate checks and balances. CFDs are banned in some countries, including the US, while ASIC placed strict conditions on them to stem significant losses seen in 2020. ... |
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