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Financial planning
The former chief executive of failed stockbroker BBY has been charged in relation to the alleged dishonest conduct of the firm....
Financial planning
The director of Ascent Investment and Coaching, Michael Dunjey, has been charged with 33 criminal offences. ...
Financial planning
ASIC has cancelled the AFSL of global advisory group Brite Advisors after compensation was paid to an individual by the Compensation Scheme of Last Resort....
Financial planning
A financial advice firm has been penalised $11 million in the Federal Court for providing ‘cookie cutter advice’ to its clients and breaching conflicted remuneration rule...
Financial planning
A former Victorian financial adviser has been sentenced after stealing $4.4 million from clients, family and friends to feed his “raging gambling addiction”....
Financial planning
A $3.5 million settlement for victims of Melissa Caddick has been approved by the Federal Court following an initial agreement last December. ...
Financial planning
ASIC was active in the first quarter of 2025 with several financial adviser bannings and court action, while the FSCP also handed down outcomes to advisers....
Financial planning
The Federal Court has made orders freezing the assets of an individual allegedly associated with marketing Shield and First Guardian Master Funds. ...
Financial planning
The Federal Court has made interim orders to freeze the assets of a managed investment scheme, its responsible entity, and a director....
Financial planning
The Federal Court has frozen the assets of two individuals, Ferras Merhi and Osama Saad, for their connections to the troubled Shield Master Fund. ...
Financial planning
Former Sydney financial adviser, David Valvo, has been sentenced in court after pleading guilty to dishonest conduct....
Financial planning
ASIC has taken action against a Queensland adviser who was sentenced last May for misappropriating $1.8 million from his clients....
Financial planning
A former Brisbane financial adviser has been charged with 26 counts of dishonest conduct regarding a failure to disclose he would receive substantial commission payments ...
Financial planning
The Federal Court has given a verdict on ASIC’s case against Dixon Advisory director Paul Ryan which had alleged he breached his director duties....
Financial planning
Former Sydney financial adviser, David Valvo, has pled guilty in court to a charge of dishonest conduct....
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So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...