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Search ResultsShowing 1 - 10 of 25 results for "Henderson Maxwell"
Sam Henderson pleads guilty
ELIZABETH MCARTHUR  |  TUESDAY, 25 AUG 2020
... that Henderson engaged in dishonest conduct while chief executive, director and senior financial adviser of Henderson Maxwell by claiming that he had a Master of Commerce when he did not. The regulator found 115 PowerPoint presentations he gave to clients ...
Sam Henderson in court over phantom degree
KANIKA SOOD  |  WEDNESDAY, 10 JUN 2020
... website for nearly four years, from October 2012 to August 2016. The phantom qualification also appeared on Henderson Maxwell brochures from 2013 to 2016 and in an information memorandum dated May 2011. "ASIC also alleges that Mr Henderson breached s952D(2)(a)(ii) ...
Sam Henderson cops ASIC ban
KANIKA SOOD, JAMIE WILLIAMSON  |  WEDNESDAY, 24 JUL 2019
... products, failed to provide advice that was relevant to their specific goals and recommended the use of in-house Henderson Maxwell products without providing product comparisons or justifying why the in-house products were better than his clients' ...
Ten stories that defined the Royal Commission
HARRISON WORLEY  |  WEDNESDAY, 19 DEC 2018
... commissioner Donna McKenna received inappropriate financial advice from Sam Henderson, the chief executive of Henderson Maxwell. On the same day, counsel assisting Rowena Orr grilled FPA chief Dante De Gori over its handling of a compliant letter it ...
FPA fines Henderson $50k
KARREN VERGARA  |  WEDNESDAY, 14 NOV 2018
... independent disciplinary body, the Conduct Review Commission (CRC), determined the former chief executive of Henderson Maxwell did not place his client's interests first or provide professional service objectively. Henderson did not make an appeal ...
FPA finds Sam Henderson guilty
KANIKA SOOD  |  THURSDAY, 11 OCT 2018
... with another firm. McKenna reported him to the FPA. Two months after his Royal Commission appearance, his firm Henderson Maxwell was merged with Pride Advice, following his exit from the industry.
AZ NGA merges embattled advice firm
JAMIE WILLIAMSON  |  TUESDAY, 26 JUN 2018
AZ Next Generation Advisory confirmed Henderson Maxwell will merge with Pride Advice following Sam Henderson's exit from the financial advice industry. A spokesperson for AZ NGA said Henderson Maxwell clients have been informed the practice has ...
Industry wants one-stop-shop professional body: Poll
KARREN VERGARA  |  MONDAY, 7 MAY 2018
... wouldn't be subjected to the product flogging associated with the big banks and yet all I'm being flogged is Henderson Maxwell's own products and services...The advice was so poor that I all but threw it in the bin," she said. During his appearance ...
RECAP: Advice in the Royal Commission spotlight (Days 6- 9)
KANIKA SOOD  |  FRIDAY, 27 APR 2018
... funds to access her details. Orr's line of questioning also revealed 84% of the total funds under advice at Henderson Maxwell are managed in a custom MDA offering provided by Managed Account Holdings (MGP) - a company in which Henderson himself held ...
ROYAL COMMISSION: Our top stories
JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
... received inappropriate financial advice from Sam Henderson, chief executive and senior financial adviser at Henderson Maxwell. McKenna sought financial advice from Henderson in late- 2016, having come across Henderson's name as the 2016 Association of ...
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