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Search ResultsShowing 1 - 10 of 15 results for "Meritum Financial Group"
Hobart adviser cops ban
ALLY SELBY  |  WEDNESDAY, 29 JUL 2020
... services for five years after he encouraged clients to inappropriately double gear their investments. Meritum Financial Group authorised representative David Horton has been banned after ASIC found he had failed to provide financial advice that was appropriate ...
Adviser banned for five years
ELIZA BAVIN  |  TUESDAY, 26 MAY 2020
... 2012 to January 2013. He was with Chubb Insurance Australia from January 2013 to June 2013, followed by Meritum Financial Group, which is also owned by NAB, from September 2013 to October 2013. His longest stint was at Spectrum Wealth Advisers from December ...
Banks, ASIC still at war over fees-for-no-service
HARRISON WORLEY  |  TUESDAY, 12 MAR 2019
... review and remediation programs of Apogee Financial Planning, Godfrey Pembroke, GWM Adviser Services and Meritum Financial Group are expected to finish by the end of 2020. JB Were has not advised ASIC of when it will complete its review, and neither ...
ASIC calls on NAB to improve disclosure
JAMIE WILLIAMSON  |  FRIDAY, 7 JUL 2017
... suggested. ASIC investigated NAB, Godfrey Pembroke, Apogee Financial Planning, GWM Adviser Services, Meritum Financial Group, and JBWere, with the non-disclosure resulting from a failure to update template documents due to a process error. As a result ...
New GM for Meritum
KERRIE SYDEE  |  WEDNESDAY, 30 NOV 2016
NAB-aligned Meritum Financial Group has appointment a new general manager. Stephen Poole, who is currently manager of business growth for NAB and MLC's advice partnerships in Queensland, will take on the role. Prior to joining NAB he was chief executive ...
ASIC ban upheld, investment banker jailed
KERRIE SYDEE  |  MONDAY, 6 JUN 2016
... upheld ASIC's decision to ban a financial adviser from providing financial services for five years. Former Meritum Financial Group adviser, Alfie Chong, was initially banned by ASIC for a range of misconduct issues including: providing inappropriate ...
ASIC bans NAB-aligned adviser
DARREN SNYDER  |  TUESDAY, 15 DEC 2015
A financial adviser linked with National Australia Bank (NAB) owned Meritum Financial Group has been banned for six years by the Australian Securities and Investments Commission (ASIC). NAB has welcomed ASIC's action against Mark Tidbury after the bank ...
ASIC bans ex-Genesys adviser
ALEX BURKE  |  THURSDAY, 1 OCT 2015
... worked for NEO Financial Solutions. Another NEO adviser, Alfie Chong , who formerly with NAB-aligned Meritum Financial Group, was also banned by ASIC in September.
ASIC bans former NAB-aligned adviser
ALEX BURKE  |  THURSDAY, 17 SEP 2015
ASIC has banned a former adviser from Meritum Financial Group, which is wholly owned by NAB. Alfie Chong worked at Meritum from September 2005 to March 2006, and then July 2007 to June 2014. During that time, ASIC has alleged that Chong engaged in a ...
Westpac, Count on ASIC radar over complex product advice
LAURA MILLAN  |  TUESDAY, 24 FEB 2015
... Advisory, AMP-owned Genesys Wealth, HSBC Bank Australia, Madison Financial Group, MASU Financial Management, Meritum Financial Group, Sentry Financial Services and Westpac Banking Corporation. Since then, the licensees committed to measures to address ...
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