appeal

Financial planning

UGC director Hewish receives outcome on 10-year ban appeal

The former director of United Global Capital has received a decision from the Administrative Review Tribunal regarding an appeal of his 10-year ban from providing financi...

Financial planning

Linchpin’s Daly loses appeal against $150k penalty

A judge has dismissed an appeal by former Linchpin Capital Group director Peter Daly against a $150,000 penalty for breaching his duties as a director....

Financial planning

Unlicensed Qld trader loses appeal for fraud sentence

An appeal by convicted fraudster Dr Roger Munro has been dismissed by the Queensland Court of Appeal....

Financial planning

Adviser’s non-compliant SOA problems broken down by ASIC

Details have been shared regarding the failures in an adviser’s non-compliant statements of advice which led to a three-year ban as well as how improvements in his behavi...

Financial planning

Sydney adviser sees ASIC ban reduced by AAT

A second financial adviser has seen their ASIC ban varied this week following a successful appeal to the Administrative Appeals Tribunal. ...

Financial planning

Ex-AMP planner calls for firm to ‘do the right thing’ in mediation

Justice Mark Moshinsky has ruled a timeline for mediation between AMP Financial Planning and Equity Financial Planners to begin, and a former planner has called for the f...

Financial planning

Court dismisses appeal against 10-year sentence

The Court of Criminal Appeals has dismissed Gabriel Nakhl’s appeal against a 10-year sentence for misuse of client funds....

Superannuation

Courts dismiss two appeals against AFCA

Appeals by QSuper and Investors Exchange Limited against the Australian Financial Complaints Authority have been dismissed by the courts as the body has been found to hav...