Search ResultsShowing 1 - 10 of 78 results for ASIC release
Adviser banned for life by ASIC
ASIC RELEASE  |  WEDNESDAY, 20 APR 2011
... life from providing financial advice following an investigation by the Australian Securities and Investments Commission (ASIC). ASIC alleges Veitch failed to comply with financial services law between 23 October 2008 and 5 February 2010 by engaging in ...
ASIC catches Camelot Derivatives
ASIC RELEASE  |  TUESDAY, 8 FEB 2011
... director, Neil Walter King, consent to interim injunctions brought by Australian Securities and Investments Commissions (ASIC). Camelot is a dealing company specialising in the trading of international index options, allowing investors to trade options ...
Former adviser faces fraud charges
ASIC RELEASE  |  THURSDAY, 27 JAN 2011
... including fraudulently obtaining client funds, after an investigation by the Australian Securities and Investments Commission (ASIC). Alan Leslie Brown, of Lugarno, New South Wales, has appeared on a total of 15 charges including one count of obtaining ...
Astarra director faces five years jail, $220k fine
ASIC RELEASE  |  WEDNESDAY, 8 DEC 2010
... third charge of making false statements in relation to financial products, in Sydney's Downing Centre Local Court yesterday. ASIC alleged, among other things, that Richard was involved in causing the Astarra Strategic Fund and the Astarra Superannuation ...
ASIC takes legal action against Storm founders and banks
ASIC RELEASE  |  FRIDAY, 26 NOV 2010
Financial services watchdog ASIC is to take legal action against Storm Financial founders, Emmanuel and Julie Cassimatis, and against three banks, on behalf of investors affected by the company's collapse. ASIC will take legal action against the two ...
ASIC shuts illegal FX trading website
ASIC RELEASE  |  THURSDAY, 25 NOV 2010
ASIC has moved to shut down an unlicensed foreign exchange trading website, which is estimated to have raised at least US$76,000 from investors. ASIC obtained orders in the Supreme Court of New South Wales against AC Trading Co, a company formerly based ...
Investors lose $7m in Qld scam
ASIC RELEASE  |  THURSDAY, 18 NOV 2010
... group of Queensland-based investors learnt the hard way why they should avoid unlicensed financial advice providers after ASIC catches another $7 million scam. She was sentenced to six months imprisonment but entered into a recognisance in the sum of ...
Commonwealth Fin Plng compensates investors
ASIC RELEASE  |  WEDNESDAY, 3 NOV 2010
Commonwealth Financial Planning will implement a major client compensation program after an ASIC investigation. According to ASIC, a former CFP representative employed until July last year potentially breached various sections of the Corporations Act ...
Infocus planner banned by ASIC
ASIC RELEASE  |  WEDNESDAY, 27 OCT 2010
ASIC has banned David Radovan, of Donnybrook, Western Australia, from providing financial services for five years after an ASIC investigation revealed concerns with the appropriateness of his advice to retail clients. The regulator found that Radovan ...
AAT upholds ASIC adviser ban
ASIC RELEASE  |  FRIDAY, 8 OCT 2010
The Administrative Appeals Tribunal has upheld ASIC's decision to ban Joshua David Fuoco from providing financial services for five years, after he engaged in deceptive conduct, including providing defective documents to clients. ASIC banned Fuoco from ...
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