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Search ResultsShowing 1 - 10 of 42 results for "Dover"
Almost 2000 advisers gone so far in 2020
ELIZABETH MCARTHUR  |  TUESDAY, 21 JUL 2020
... two in the last six months. Merit Wealth lost 45, while Ausure lost 42. Consilium, the licensee which had picked up the Dover and Spectrum financial advisers, went from 74 financial advisers to 38 - losing almost half their advisers. Substantially fewer ...
ASIC bans RC case study adviser
HARRISON WORLEY  |  TUESDAY, 12 MAY 2020
... with a Statement of Advice or appropriate fee disclosure statements in a timely manner. Harris, a former Millennium3 and Dover authorised representative, was the subject of a Royal Commission case study, which saw advice he provided to clients as a Millennium3 ...
500 advisers exit during COVID-19
ELIZABETH MCARTHUR  |  THURSDAY, 23 APR 2020
... to 305. Charter Financial and National Australia Bank lost 19 advisers each. Consilium, which had picked up a number of Dover and Spectrum advisers after the shuttering of those AFSLs following regulatory action, lost seven advisers. It is now down to ...
Former licensee boss banned
JAMIE WILLIAMSON  |  TUESDAY, 11 FEB 2020
... its closure, more than 30 of its advisers transitioned to Consilium Advice - an AFSL established by a number of former Dover advisers with the help of Schroeder, Financial Standard understands. Banning him for six years, ASIC said that as the most senior ...
Dover, McMaster found guilty
JAMIE WILLIAMSON  |  FRIDAY, 22 NOV 2019
The Federal Court has found Dover Financial Advisers and Terry McMaster guilty in the case brought against them by ASIC. In a judgement handed down on Friday, Dover Financial Advisers and Terry McMaster have been found guilty of false, misleading and ...
ASIC prepares to be primary super conduct regulator
ELIZABETH MCARTHUR  |  THURSDAY, 12 SEP 2019
... and matters within the Office of Enforcement. It specifically mentioned court action ASIC has taken against Select AFSL, Dover and NAB as a result of the Royal Commission. ASIC chair James Shipton said: "As we have seen in recent weeks, a number of those ...
Former Dover, Securitor adviser banned
ELIZABETH MCARTHUR  |  THURSDAY, 18 APR 2019
An adviser formerly licenced by Dover Financial Advisers has been banned for failing to provide advice in the best interest of clients. Peter Anthony Chigwidden has been banned for five years following an ASIC investigation. Chigwidden licensed by Dover ...
Former Financial Wisdom adviser banned
KARREN VERGARA  |  THURSDAY, 21 MAR 2019
... years for life insurance churning. Geappen was licensed by Financial Wisdom from 2008 to 2016. In December 2016, he joined Dover Financial Advisers before jumping to Synchron in May 2018. According to ASIC FAR, Geappen ceased as an adviser in October ...
ASIC flags post-RC criminal prosecutions
JAMIE WILLIAMSON  |  WEDNESDAY, 20 FEB 2019
... investigation is required. This is in addition to the actions already commenced against NAB's Nulis and MLC, as well as Dover Financial Advisers and Terry McMaster. Aside from the Royal Commission case studies, ASIC is also looking into a number of instances ...
ASIC bans former NAB, CBA advisers
JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... received from Financial Wisdom. Geappen was licensed by Financial Wisdom from 2008 to 2016. In December 2016 he joined Dover Financial Advisers before jumping to Synchron in May 2018. According to ASIC FAR, Geappen ceased as an adviser in October 2018. ...
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