ASIC bans former LFG Services representative
The Australian Securities and Investments Commission (ASIC) has permanently banned a Queensland man from providing financial services.
Neil Francis Dodd of Townsville, Queensland, was employed as an authorised representative of LFG Services Pty Ltd (LFG Services). His authority was revoked on October 25, 2007, for failing to comply with the provisions of LFG Services’ Australian Financial Services Licence, according to ASIC.
LFG Services referred the matter to ASIC.
Dodd has the right to lodge an application with the Administrative Appeals Tribunal for a review of ASIC’s decision.
AUTHOR
Corrina Jack
Recommended for you
Wealth Data has revealed the top five licensees for financial adviser growth over the September quarter, with more than 150 advisers joining in Q3 overall.
Former Sydney financial adviser, David Valvo, has pled guilty in court to a charge of dishonest conduct.
Building a network of mentors and coaches with varied skill sets could help women achieve their career goals, according to an FBAA executive.
AMP has reported its Q3 results and provided a progress update on the divestment of its advice division to Entireti.
