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AAT varies ASIC ban of former ANZ adviser

The tribunal noted that the adviser has suffered with loss of employment and was sole breadwinner as a single mother, and thus should have a reduced penalty. ....

New South Wales , Lisa Lee , Investments Commission , Administrative Appeals Tribunal , Australian Securities , Infocus Securities Australia , Adviser Register , Disqualified Persons ,

Advice is a lonely business, but I love it: Infocus CEO Darren Steinhardt

Like most success stories, the impressive numbers for Infocus belie the hardship and the graft. It hasn't been easy, Steinhardt says, with "a lot of trial and error", and despite the strength of the licensing venture there are still tough days for the affable CEO. ....

Darren Steinhardt , Steinhardt Holdings , Infocus Securities Australia , Patron Financial Advice , Red October ,

Former adviser hit with 8-year ban for falsifying BDBNs

Former adviser hit with 8-year ban for falsifying BDBNs
smsfadviser.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from smsfadviser.com Daily Mail and Mail on Sunday newspapers.

New Zealand , New South Wales , Tony Zhang , Lisa Lee , Zealand Banking Group , New Zealand Banking Group , Infocus Securities Australia , Administrative Appeals Tribunal , Financial Advisers Register , Disqualified Persons , புதியது ஜீலாந்து , புதியது தெற்கு வேல்ஸ் , டோனி ஜாங் , லிசா லீ , ஜீலாந்து வங்கி குழு , புதியது ஜீலாந்து வங்கி குழு , கவனத்துடன் பத்திரங்கள் ஆஸ்திரேலியா ,

ASIC bans former adviser for falsifying documents

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Sydney-based former financial adviser, Lisa Lee, has been banned from providing financial services for eight years by the Australian Securities Investments Commission (ASIC) for falsifying documents.
ASIC found when Lee was a representative of ANZ, she falsely witnessed binding nomination of beneficiary forms for 17 clients, backdated documents, and falsified a client’s signature on documents.
Lee was a representative of ANZ between 5 June, 2010, and 15 June, 2017, and then worked at Infocus Securities Australia between 19 September, 2017, and 19 November, 2018.
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New South Wales , Lisa Lee , Australian Securities Investments Commission , Infocus Securities Australia , Adviser Register , Disqualified Persons , Administrative Appeals , புதியது தெற்கு வேல்ஸ் , லிசா லீ , ஆஸ்திரேலிய பத்திரங்கள் முதலீடுகள் தரகு , கவனத்துடன் பத்திரங்கள் ஆஸ்திரேலியா ,

Adviser hit with five year ban for misleading clients

Adviser hit with five year ban for misleading clients
Adviser hit with five year ban for misleading clients
The corporate regulator has continued its blitz on misconduct in the super space, banning a former Australian Unity adviser for misleading communications to clients around the transition to MySuper.
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In a statement, ASIC said it had banned former Australian Unity Personal Financial Services (AUPFS) authorised representative Christopher Chan from providing financial services for five years.
Mr Chan had been found to have sent emails to some of his clients encouraging them to opt out of MySuper during the transition process in 2016, saying that the MySuper fund they would be transferred into had higher fees than their existing fund. This was not the case for all clients Mr Chan wrote to, ASIC said. ....

Christopher Chan , Australian Unity Personal Financial Services , Infocus Securities Australia , கிறிஸ்டோபர் சான் , கவனத்துடன் பத்திரங்கள் ஆஸ்திரேலியா ,