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Adviser sentenced over accessing client accounts

Former financial adviser John Wertheimer has been convicted and sentenced for making unauthorised client transactions on the Netwealth platform. ....

John Wertheimer , Dover Financial Advisers , Picture Wealth , Judge Gillan , Commonwealth Director , Public Prosecutions ,

ASIC dishes out permanent ban to 'lifestyle' adviser

A former Dover and Interprac financial adviser who was found to be unfit to operate in the industry in any capacity was permanently banned by the regulator. ....

James Carlos Reynolds , Totem Wealth , Adviser Register , Dover Financial Advisers , Interprac Financial Planning ,

Former Dover adviser banned

The corporate regulator handed down a six-year ban from providing financial services to a Melbourne-based financial adviser for failing to provide appropriate advice. ....

Ashok Sherwal , Terry Mcmaster , Risk Management , Dover Financial Advisers , Federal Court ,

ASIC bans ex-Dover adviser for six years | Money Management

The corporate regulator has banned Melbourne-based financial adviser Ashok Sherwal from providing financial services for six years after giving inappropriate advice for his personal gain. ....

Ashok Sherwal , Investments Commission , Australian Securities , Risk Management , Dover Financial Advisers , Administrative Appeals Tribunal , Australian Securities And Investments Commission , Ashok Sherwal ,

Adviser hit with 6-year ban after 'significantly eroding' clients super balance

ASIC has banned a Melbourne adviser for six years after he was found to have provided inappropriate advice which left clients superannuation balances "significantly eroded." ....

Ashok Sherwal , Tony Zhang , Financial Advisers Register , Disqualified Persons , Administrative Appeals Tribunal , Risk Management , Dover Financial Advisers , Technical Strategy ,