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Showing 1 - 10 of 31 results for "Dover Financial"

Adviser sentenced over accessing client accounts

CHLOE WALKER  |  FRIDAY, 3 FEB 2023
... service. At the time of the conduct, Wertheimer was not licensed to provide financial advice. He had been licensed by Dover Financial Advisers until it closed down in July 2018, at which time Picture Wealth was appointed to service his clients. Wertheimer ...

ASIC dishes out permanent ban to 'lifestyle' adviser

JAMIE WILLIAMSON  |  WEDNESDAY, 12 OCT 2022
... Financial Adviser Register shows that between 2010 and 2015 Reynolds was licensed by Westpac. He then moved to Dover Financial Advisers until its AFSL was cancelled in July 2018. Then, more than a year later, he became licensed by Interprac Financial ...

Former Dover adviser banned

ANNABELLE DICKSON  |  THURSDAY, 21 OCT 2021
... while Sherwal was an authorised representative of Wealth & Risk Management from 22 July 2015 to 4 May 2016 and Dover Financial Advisers from March 6 to 23 October 2017. ASIC found that Sherwal misunderstood the best interests duty requirements and could ...

Dover, McMaster hit with $1.4m penalty

KARREN VERGARA  |  FRIDAY, 5 MAR 2021
In a win for ASIC this morning, Dover Financial Advisers and its founder Terry McMaster have been ordered to pay over $1.4 million in penalties by the Federal Court of Australia. Justice O'Bryan imposed a $1.2 million penalty on the defunct financial ...

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 ...

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
... 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 2018.

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
... 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. ASIC said ...

Ten stories that defined the Royal Commission

HARRISON WORLEY  |  WEDNESDAY, 19 DEC 2018
... licensee to decline the Royal Commission's request for assistance in identifying instances of misconduct, Dover Financial Advisers shocked the industry when it shut-down in June. Shortly after, the AFA set about lobbying the corporate regulator and ...
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