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Showing 1 - 10 of 27 results for "WealthSure"

Decade-long ban reduced for former adviser

KARREN VERGARA  |  TUESDAY, 14 NOV 2023
... attend the AFL Grand Final had his ASIC banning order reduced. Mark Babbage, who was an authorised representative of Wealthsure and Capstone Financial Planning, will now be able to re-enter the financial services industry after six years instead of 10 ...

Three advisers cop ASIC bans

KANIKA SOOD  |  WEDNESDAY, 20 NOV 2019
... Dean O'Neill for four years. He spent 10 years at NAB's Godfrey Prembroke until 2013 when he moved to Sentry Group's Wealthsure Financial Services. All banning orders were made under sections 920A and 920B of Corporations Act.

ASIC bans Perth adviser

DARREN SNYDER  |  FRIDAY, 23 FEB 2018
... waiting periods for income protection policies. The law enforcement agency looked at several of Leake's client files from Wealthsure Financial Services Pty Ltd, where he was an authorised representative from March 2015 until January 2018. ASIC said the ...

Wealthsure to cancel AFS licence

LAURA MILLAN  |  FRIDAY, 1 MAY 2015
Wealthsure Group will request for its Australian Financial Services (AFS) licence to be cancelled, following the acquisition by Sentry Group. Wealthsure (WPL) has already transferred some of its authorised representatives to Wealthsure Financial Services ...

Matrix merger to place ClearView among top 10 licensees

LAURA MILLAN  |  MONDAY, 1 SEP 2014
... financial planners and would be among the largest advice conglomerates by number of planners, ahead of Yellow Brick Road, Wealthsure or Lifespan. Matrix shareholders are being offered $4.407 in cash and 8.776 ClearView shares (subject to performance ...

Federal Court judgements contradictory on adviser liability

LAURA MILLAN  |  MONDAY, 7 JUL 2014
... client legal claims. Within less than one month, the Full Court of the Federal Court has judged the cases of Seling vs. WealthSure and ABN Amro Bank vs. the Bathurst Regional Council. Halsey Legal Services lawyer Mark Halsey noted that, as a consequence ...

Infocus and Patron deal puts new group in top ten

LAURA MILLAN  |  TUESDAY, 1 JUL 2014
... Professional Investment Services (PIS), Synchron, Dover and Crowe Horwath. Infocus and Patron together would be larger than WealthSure, Lifespan or Yellow Brick Road. The same report shows that both firms together would be the tenth largest dealer group ...

Former WealthSure financial adviser gets jail time for fraud

ALICE URIBE  |  TUESDAY, 1 JUL 2014

Federal Court reduces Wealthsure compensation

STAFF WRITER  |  TUESDAY, 3 JUN 2014
The Federal Court has reduced the compensation amount that Wealthsure will need to pay to two of its former clients. The court determined that Wealthsure, financial adviser David Bertram and its directors are "concurrent wrongdoers in relation to the ...

ASIC takes most action against small business owners

LAURA MILLAN  |  MONDAY, 3 FEB 2014
... Financial victims and Macquarie Bank. ASIC also secured EUs with a number of high profile companies including NAB, UBS, Wealthsure, BT, and Commsec. "Negotiated outcomes, such as EUs, can offer a faster, more flexible and effective regulatory outcome ...
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