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Showing 1 - 5 of 5 results for "Infocus Securities"

Former adviser cops eight-year ban

KARREN VERGARA  |  THURSDAY, 6 MAY 2021
A former ANZ and Infocus Securities financial adviser has been banned for eight years after ASIC found evidence of forgery and falsifying documents. Lisa Lee, a Sydney-based former adviser, falsely witnessed binding nomination of beneficiary forms for ...

Former NAB, Infocus advisers banned

ALLY SELBY  |  MONDAY, 2 DEC 2019
... industry for one year after she failed to disclose prior criminal charges when applying as a representative of Infocus Securities Australia. Williams had been charged with fraud and stealing under the Queensland Criminal Code. ASIC said that by "failing ...

ASIC bans adviser again

HARRISON WORLEY  |  FRIDAY, 16 AUG 2019
... interests of his clients. According to ASIC, a review of advice Aujla provided as an authorised representative of Infocus Securities Australia and Chaucer Group revealed he failed to obtain adequate information from clients about their personal circumstances ...

Infocus looking to expand advice services

DARREN SNYDER  |  FRIDAY, 29 MAY 2015
... advice division includes a planning network of over 180 financial advisers authorised under two dealer groups, Infocus Securities Australia and PATRON Financial Advice. They provide financial advice to over 80,000 clients from 116 offices across Australia.A ...

Infocus planner banned by ASIC

ASIC RELEASE  |  WEDNESDAY, 27 OCT 2010
... advice to retail clients. The regulator found that Radovan, who, while acting as an authorised representative of Infocus Securities Australia Pty Ltd, recommended financial products to more than 30 clients between 2006 and 2008, and in a number of cases ...
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