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Q3 sees plenty of ASIC bans and court action

The last three months have seen at least three high-profile court cases involving adviser misconduct, keeping the corporate regulator on its toes to wrap up a busy quarter. ....

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Sydney adviser receives permanent ban and AFSL cancellation

ASIC has permanently banned a Sydney financial adviser and cancelled the license of his business after he misappropriated investor funds. ....

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Veteran adviser cops permanent ban

ASIC permanently banned a financial adviser who has been advising for 34 years after an investigation found, among other violations, that he misappropriated funds and dealt in derivatives without the proper authorisations. ....

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ASIC bans Sydney financial adviser for life

And cancels the AFS license of his wealth management firm ....

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