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Showing 1 - 8 of 8 results for "Melbourne adviser"

Melbourne adviser sentenced to 18 months' prison

ELIZA BAVIN  |  FRIDAY, 6 SEP 2024
Former Melbourne financial adviser Bradley Grimm has been convicted by the County Court of Victoria on three counts of engaging in dishonest conduct while running a financial services business. Grimm was sentenced to 18 months' imprisonment, with ...

ASIC hits Melbourne adviser with travel ban

ELIZA BAVIN  |  TUESDAY, 23 JUL 2024
The Australian Securities and Investments Commission (ASIC) has secured a travel restraint order against Melbourne-based adviser Barry King. The orders prevent King from leaving or attempting to leave Australia until 1 April 2025. They were made by ...

ASIC bans Melbourne adviser

CHLOE WALKER  |  FRIDAY, 1 JUL 2022
The corporate regulator has dealt out a three-year ban to David Noel Ruthenberg of Venture Advisory Consulting. ASIC found that, between June 2015 and September 2017, Ruthenberg recommended that some of his clients invest in the Investport Income Opportunity ...

Remote exams offered to Melbourne advisers

KARREN VERGARA  |  FRIDAY, 23 OCT 2020
The Financial Adviser Standards and Ethics Authority is providing remote-sitting options for financial advisers in Melbourne affected by COVID-19 restrictions. Financial advisers sitting the November exam will be affected. FASEA advised those who registered ...

Royal Commission case study: advice put retirement in ruins

JAMIE WILLIAMSON  |  THURSDAY, 19 APR 2018
... 2015. Answering to Senior Counsel Assisting Rowena Orr, McDowall explained how she sought the assistance of the Melbourne adviser to implement a retirement income strategy. McDowall told the Commission she wished to retire from her 30-year long career ...

Melbourne planner launching crowd-funded positivity campaign

ALEX BURKE  |  THURSDAY, 22 JAN 2015
A Melbourne adviser is looking to crowd-fund a campaign to promote positive stories about financial planners. Spurred by negative press about the profession, Houghton Strategic Solutions owner and AFA member Melinda Houghton is launching Positivity ...

ASIC accepts EU from two advice firms

LAURA MILLAN  |  TUESDAY, 24 SEP 2013
... Securities and Investments Commission (ASIC) has accepted enforceable undertakings from two financial planning firms. Melbourne adviser James Thomas Banfield has entered into an enforceable undertaking with ASIC that prevents him from providing financial ...

ASIC bans Melbourne adviser for four years

The Australian Securities and Investments Commission (ASIC) has announced today that it has banned Malbourne-based Christopher Martin from acting as a representative of a dealer or an investment adviser for four years for not performing his duties efficiently ...
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