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Showing 1 - 5 of 5 results for "Wealthsure Financial Services"

Three advisers cop ASIC bans

KANIKA SOOD  |  WEDNESDAY, 20 NOV 2019
... 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
... 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 outcome is a result ...

Wealthsure to cancel AFS licence

LAURA MILLAN  |  FRIDAY, 1 MAY 2015
... Sentry Group. Wealthsure (WPL) has already transferred some of its authorised representatives to Wealthsure Financial Services (WFS), now wholly owned by Sentry Group. WPL has been under an enforceable undertaking (EU) with the Australian Securities ...

ASIC accepts enforceable undertaking from WealthSure

LAURA MILLAN  |  MONDAY, 2 SEP 2013
WealthSure, WealthSure Financial Services and the former chief executive of both companies, Darren Pawski, will be put into an enforceable undertaking (EU) until 2018. The Australian Securities and Investments Commission (ASIC) has accepted an EU from ...

ASIC bans Sydney adviser

LINDA HAUSKEN  |  WEDNESDAY, 18 JUL 2012
... approval. At the time of the offence, Oberg was a financial adviser and authorised representative of Wealthsure Financial Services. Australian Securities & Investments Commission (ASIC) said he withdrew his client's funds between September 2007 and October ...
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