Search Results | Showing 1 - 10 of 19 results for "Spectrum Wealth" |
| | | ... trading in February 2019 before committing to divest all its operations - including financial advice business Spectrum Wealth Advisers - and eventually appointing liquidators in February 2020. ASIC launched the civil action proceedings against the two ... |
| | | | ... Guardian collapses can access recourse. Anne Street Partners, Nextgen Financial Group, Dover Financial Advisers, Spectrum Wealth, Libertas Financial Planning, and Brite Advisors are also on the list of advice groups where claims against them have been ... |
| | | | ... trading in February 2019 before committing to divest all its operations - including financial advice business Spectrum Wealth Advisers - and eventually appointing liquidators in February 2020. The policies distributed by Freedom were issued by AIA Australia ... |
| | | | Former Spectrum Wealth Advisers chief executive Mark Schroeder has been slapped with banning orders in addition to his six-year ban from providing financial services. The Administrative Appeals Tribunal amended ASIC's banning order that was handed down ... |
| | | | ... follows ASIC surveillance of advice provided by NSW-based Sean Lewis while he was an authorised representative of Spectrum Wealth Advisers. ASIC found that Lewis failed to comply with financial services laws, including failure to provide advice that ... |
| | | | ... Group provided accounting, wealth advice and financial planning to her between 2013 and 2015. Despite shuttering, Spectrum Wealth is still listed as the firm's licensee on its website, however the ASIC Financial Adviser Register shows Robert Patterson ... |
| | | | ... NSW for three years for failing to consider clients' best interests. Jane Myers, an authorised representative of Spectrum Wealth between 2013 and 2017, has been banned by the regulator following surveillance. ASIC said Myers claimed she was only facilitating ... |
| | | | ... face a liquidity shortfall in 2019. ASIC earlier this month, banned Mark Schroeder who was the chief executive of Spectrum Wealth Advisors (a subsidiary of Freedom Insurance Group). It also accepted Spectrum's request to cancel its AFSL. |
| | | | ASIC has said the former chief executive of Spectrum Wealth Advisers had a poor understanding of his obligations and failed to ensure advisers complied with the law, banning him over his involvement in the licensee's numerous failures. Mark Schroeder ... |
| | | | Spectrum Wealth Advisers is seeking to cancel its licence and is no longer providing financial services, with many representatives having now joined new licensees. ASIC recently advised clients of Spectrum Wealth Advisers and the advisers registered ... |
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