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Search ResultsShowing 1 - 10 of 96 results for "Macquarie Equities"
Former advisers face huge fines
ELIZABETH MCARTHUR  |  FRIDAY, 6 NOV 2020
... has been charged with five counts of fraud which has a maximum penalty of 20 years in prison. Acworth was a Macquarie Equities adviser between 2015 and 2018. Acworth is currently on bail, with the matter scheduled to be heard again on 29 January 2021. ...
Former Macquarie adviser cops lifetime ban
ALLY SELBY  |  THURSDAY, 13 FEB 2020
... until 31 December 2019. ASIC said Acworth undertook dishonest trades on behalf of his clients while working for Macquarie Equities in the form of MINI warrants (shares, indices, currencies or commodities). Acworth "misrepresented to his client the value ...
Compensation bill hits $750m
ELIZA BAVIN  |  WEDNESDAY, 12 FEB 2020
... all the statistics for Macquarie due to an agreed enforceable undertaking between the two parties allowing Macquarie Equities to undertake work that was "largely consistent" with ASIC's review. ASIC commenced the review into the remediation programs ...
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
... services 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 ...
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 ...
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