Search ResultsShowing 1 - 10 of 93 results for "Macquarie Equities"
Watermark pulls out of global equities
JAMIE WILLIAMSON  |  MONDAY, 21 JAN 2019
... Dudley was appointed as an investment analyst in November, covering the financials sector. Dudley joined from Macquarie Equities where he covered Australian banks. Finally, Alex Gurman also joined in November as a trader. Formerly of Goldman Sachs, Gurman ...
Former Macquarie advisers banned
JAMIE WILLIAMSON  |  WEDNESDAY, 19 SEP 2018
... for 10 years. Landau was an authorised representative and senior wealth adviser in the Adelaide office of Macquarie Equities, while Campbell was an authorised representative and executive investment adviser in the same office. Both held these roles from ...
Former Macquarie equities team launches boutique
KANIKA SOOD  |  FRIDAY, 25 MAY 2018
Multi-affiliate investment manager Pinnacle Investments officially launched its latest boutique firm with two former Macquarie stock pickers at the helm. Patrick Hodgens, who spent 28 years as Macquarie's head of equities and as an executive director ...
AAT upholds ruling against ex-Macquarie and ex-Credit Suisse advisers
EMMA RAPAPORT  |  TUESDAY, 12 DEC 2017
The Administrative Appeals Tribunal has affirmed ASIC's decision to ban a former Macquarie equities financial adviser and former Credit Suisse employee from providing financial services for three years. ASIC's decision to ban Tony Davidof and Philip ...
Macquarie pays the price for poor advice
JAMIE WILLIAMSON  |  FRIDAY, 9 JUN 2017
Macquarie Equities has shelled out almost $25 million in compensation in the past three years as part of its enforceable undertaking with ASIC. The corporate regulator published an update yesterday as to the remediation program's status, saying it is ...
Former adviser cops ASIC reprimand
JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017
A former Macquarie Equities Limited adviser agreed to not provide financial services for four years as part of an enforceable undertaking by ASIC. The regulator determined that Anthony Wilson had failed to comply with financial services laws between ...
AAT upholds adviser appeal against ASIC
EMMA RAPAPORT  |  TUESDAY, 24 JAN 2017
The Administrative Appeals Tribunal upheld an appeal by Tony Davidof, a former Macquarie Equities accredited derivatives adviser, against the Australian Securities and Investments Commission. In 2015, ASIC banned Davidof from providing financial services ...
Hong Kong fintech makes senior Australia hire
ALEX BURKE  |  WEDNESDAY, 2 NOV 2016
... Prior to that, he was an executive director at Instreet Investment, Merrill Lynch, ANZ, BZW Australia and Macquarie Equities. His appointment occurs at the same time Quantifeed has appointed Audrey Wong as both chief operating officer and chief financial ...
ASIC bans former Macquarie advisers
JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2016
... private client adviser, and strategic financial planner Gardner were both employed in the Brisbane office of Macquarie Equities. The ASIC investigation also found that Sourris advised eight clients between September 2011 and November 2012 to open options ...
ASIC bans ex-Macquarie Equities trader
ALEX BURKE  |  WEDNESDAY, 17 AUG 2016
ASIC has banned a former representative of Macquarie Equities for five years. Nicholas Kerr worked for Macquarie Equities from 2008 to 2013; during that time, ASIC alleged he engaged in unauthorised discretionary trading on five client accounts, as ...
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