News

Adviser pays to clear charges

Wednesday 16th of September 2009

The IFA member was charged with breaches relating to making a false or misleading statement and failing to make a reasonable investigation into the suitability of the financial product recommended. Both charges were dismissed by the Disciplinary Committee in July.

The adviser sought $17,999.16 in reimbursement of costs, but late last month the committee ruled that costs would not be awar...

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