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Showing 1 - 5 of 5 results for "Rommel Panganiban"

AMP to pay $5m for churn

JAMIE WILLIAMSON  |  WEDNESDAY, 5 FEB 2020
... response". In handing down its judgment, the court said the churning conduct of one adviser in particular - Rommel Panganiban - was "morally indefensible". The court accepted ASIC's case that, having become aware of Panganiban's conduct, it was ...

ASIC takes civil action against AMP

HARRISON WORLEY  |  WEDNESDAY, 27 JUN 2018
... matter, which commenced in 2014. ASIC's pleadings in particular relate to the conduct of former AMPFP adviser, Rommel Panganiban, who engaged in insurance rewriting. AMPFP said it removed Panganiban's authorisation in 2014 and reported his conduct to ...

AAT upholds ex-AMP adviser ban

KARREN VERGARA  |  FRIDAY, 7 JUL 2017
... Administrative Appeals Tribunal affirmed ASIC's decision to permanently ban a former AMP adviser. The regulator found Rommel Panganiban from New South Wales prioritised his own interests ahead his clients' with no reasonable basis in giving advice. About ...

ASIC hands down more permanent bans

JAMIE WILLIAMSON  |  WEDNESDAY, 14 SEP 2016
... former AMP financial planner from providing financial services, deciding he is "not of good fame and character." Rommel Panganiban of New South Wales, an authorized representative of AMP Financial Planning between 2010 and 2014, was banned after ASIC ...

Court dismisses ex-AMP planner seeking hold on ASIC ban

ALEX BURKE  |  WEDNESDAY, 25 MAY 2016
... planner to restrain ASIC from making a possible banning order. ASIC issued Lionsgate Financial Group planner Rommel Panganiban with a hearing notice in late 2015 relating to concerns about financial services provided to 50 clients while he worked at ...
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