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Should investors be worried about an ETF bubble?

30/08/2017(0)
Exchange-traded funds (ETFs) have stormed the markets in recent years, which is hardly surprising when you consider the shedload of criticism the active management industry has faced over its ... Read More
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Former Morgan Stanley Wealth Management financial adviser permanently banned

11/03/2017(0)
ASIC has permanently banned Andrew Peter Panayiotides from providing financial services. ASIC found that Mr Panayiotides failed to act in the best interests of clients and provided advice to ... Read More
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Financial adviser pleads guilty to theft of more than $1.6 million

12/12/2016(0)
Admits to stealing money from a family’s trusts that he was managing and using it for personal expenses A former financial adviser has pleaded guilty to stealing more than ... Read More
ASIC_regulator

ASIC bans former AMP Financial Planning representative from providing financial services for eight years

18/11/2016(0)
ASIC has banned Mr James Edward McCarthy, a financial adviser from South Australia, from providing financial services until 14 November 2024. Mr McCarthy is the sole director of McCarthy ... Read More
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Broker sentenced in $3 million Ponzi scam

16/11/2016(0)
A former Greenville broker accused of stealing from his clients in a long-running Ponzi scam was sentenced Tuesday to two years in a federal penitentiary. Claus C. Foerster, 56, ... Read More
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Former financial adviser has been sentenced to seven years imprisonment

15/11/2016(0)
Former financial adviser, Mr Darren John Wise, has been sentenced in the Maroochydore District Court to seven years imprisonment on charges brought by ASIC. Mr Wise will be eligible ... Read More
ASIC_regulator

Financial adviser banned for price manipulation of MINI warrants issued by Credit Suisse

10/11/2016(0)
On 8 September 2016, ASIC banned Michael Spencer, formerly a financial adviser, from providing financial services for three years. ASIC found that Mr Spencer engaged in manipulation of the ... Read More
ASIC_regulator

ASIC permanently bans former financial adviser

31/10/2016(0)
ASIC has permanently banned former NSW financial adviser Mr Ashley Grant Howard from providing financial services after an investigation found he had: engaged in dishonest conduct; held out that ... Read More
ASIC_regulator

Former financial adviser and accountant charged for fraud involving approximately $800,000

04/07/2016(0)
Following an ASIC investigation, former financial adviser and accountant, Satvir Singh Birk, aged 40, of Reedy Creek, has today appeared in the Southport Magistrates Court charged with five counts ... Read More
The corporate logo of financial firm Morgan Stanley is pictured on a building in San Diego

Morgan Stanley Ordered to Pay Over $34 Million to HSN Co-Founder’s Estate

22/03/2016(0)
Ms. Forte had been Mr. Speer’s financial adviser since the late 1990s An arbitration panel ordered Morgan Stanley to pay more than $34 million to the estate of deceased ... Read More
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