Disciplinary matters
| Date | Reference number |
Name of Participant | |
|---|---|---|---|
| 14 Nov 2008 | 560/08 | ABN AMRO Equities Limited | PDF (740KB) |
| 17 Sep 2008 | 032/08 | Tolhurst Limited | PDF (741KB) |
| 17 Sep 2008 | 457/08 | ETRADE Australia Securities Limited | PDF (100KB) |
| 5 Sep 2008 | 438/08 | Bell Potter Securities Limited | PDF (46KB) |
| 28 Aug 2008 | 427/08 | Tricom Futures Services Pty Limited | PDF (750KB) |
| 25 Aug 2008 | 419/08 | Taylor Collison Limited | PDF (739KB) |
| 21 Aug 2008 | 416/08 | Commonwealth Securities Limited | PDF (714KB) |
| 21 Aug 2008 | 415/08 | Burrell Stockbroking Pty Limited | PDF (743KB) |
| 17 Jun 2008 | 291/08 | Tolhurst Limited | PDF (739KB) |
| 6 Jun 2008 | 021/08 | Macquarie Equities Limited | PDF (734KB) |
| 4 Jun 2008 | 268/08 | Ord Minnett Limited | PDF (742KB) |
| 16 May 2008 | 226/08 | Citigroup Global Markets Australia Pty Ltd | PDF (742KB) |
| 15 May 2008 | 014/08 | MF Global Australia Limited | PDF (735KB) |
| 5 May 2008 | 013/08 | Tolhurst Limited | PDF (740KB) |
| 5 May 2008 | 202/08 | ETRADE Australia Securities Limited | PDF (752KB) |
| 27 Mar 2008 | 148/08 | Tolhurst Limited | PDF (742KB) |
| 18 Mar 2008 | 138/08 | ABN AMRO Morgans Limited | PDF (108KB) |
| 29 Feb 2008 | 010/08 | Berndale Securities Limited | PDF (55KB) |
| 29 Feb 2008 | 009/08 | Merrill Lynch Equities (Australia) Pty Limited | PDF (55KB) |
| 12 Feb 2008 | 068/08 | Tricom Equities Limited | PDF (748KB) |
| 8 Feb 2008 | 027/08 | ETRADE Australia Securities Limited | PDF (732KB) |
| 5 Feb 2008 | 058/08 | BBY Limited | PDF (736KB) |
| 16 Jan 2008 | 021/08 | DJ Carmichael Pty Limited | PDF (764KB) |
| 21 Dec 2007 | 794/07 | Aequs Securities Pty Limited | PDF (730KB) |
| 21 Dec 2007 | 793/07 | Macquarie Capital Securities (Australia) Pty Limited | PDF (729KB) |
| 19 Dec 2007 | 783/07 | Citigroup Global Markets Australia Pty Limited | PDF (744KB) |
| 14 Dec 2007 | 759/07 | Tolhurst Limited | PDF (732KB) |
| 26 Nov 2007 | 029/07 | Fimat Australia Pty Limited | PDF (739KB) |
| 15 Nov 2007 | 670/07 | UBS Securities Australia Limited | PDF (736KB) |
| 15 Nov 2007 | 669/07 | ComSec Trading Limited | PDF (736KB) |
| 8 Oct 2007 | 580/07 | Hogan & Partners Stockbrokers Pty Limited | PDF (740KB) |
| 8 Oct 2007 | P2007/527 | Commonwealth Securities Limited | PDF (733KB) |
| 5 Oct 2007 | P2007/524 | ETRADE Australia Securities Limited | PDF (732KB) |
| 5 Oct 2007 | 576/07 | IMC Pacific Pty Limited | PDF (742KB) |
| 14 Aug 2007 | 476/07 | Goldman Sach JBWere Pty Limited | PDF (746KB) |
| 6 Jul 2007 | 384/07 | JDV Limited | PDF (740KB) |
| 29 Jun 2007 | 014/07 | Fimat Australia Pty Limited | PDF (740KB) |
| 28 Jun 2007 | 364/07 | Veritas Securities Limited | PDF (745KB) |
| 21 Jun 2007 | 341/07 | Halifax Investment Services Limited | PDF (733KB) |
| 21 Jun 2007 | 340/07 | Westpac Securities Limited | PDF (738KB) |
| 20 Jun 2007 | 334/07 | optionsXpress Australia Pty Limited | PDF (730KB) |
| 18 Jun 2007 | 328/07 | ITG Australia Limited | PDF (732KB) |
| 8 Jun 2007 | P2007/295 | CMI Limited | PDF (736KB) |
| 16 May 2007 | P2007/232 | Goldman Sachs JBWere Pty Limited | PDF (735KB) |
| 16 May 2007 | 234/07 | Grange Securities Limited | PDF (734KB) |
| 1 May 2007 | 205/07 | Merrill Lynch Equities Australia Limited | PDF (740KB) |
| 4 Apr 2007 | 009/07 | Austock Securities Limited | PDF (734KB) |
| 30 Mar 2007 | 008/07 | RBC Securities Australia Pty Limited | PDF (736KB) |
| 30 Mar 2007 | 133/07 | Ord Minnett Limited | PDF (745KB) |
| 26 Mar 2007 | P2007/120 | Macquarie Airports Management Limited | PDF (734KB) |
| 22 Mar 2007 | 126/07 | Macquarie Equities Limited | PDF (735KB) |
| 7 Mar 2007 | 098/07 | Deutsche Securities Australia Limited | PDF (734KB) |
| 22 Jan 2007 | 031/07 | BBY Limited | PDF (750KB) |
| 22 Jan 2007 | 030/07 | Commonwealth Securities Limited | PDF (752KB) |
| 22 Jan 2007 | 029/07 | Lonsec Limited | PDF (730KB) |
| 22 Jan 2007 | 028/07 | Credit Suisse Equities (Australia) Limited | PDF (740KB) |
| 22 Jan 2007 | 027/07 | DJ Carmichael Pty Limited | PDF (740KB) |
| 8 Sep 2006 | 460/06 | J.P. Morgan Securities Australia Limited | PDF (79KB) |
| 26 May 2006 | 268/06 | ABN ARMO Equities Australia Limited | PDF (51KB) |
| 5 May 2006 | 218/06 | Lehman Brothers Australia Pty Limited | PDF (51KB) |
| 4 Apr 2006 | 149/06 008/06 |
ABN AMRO Equities Australia Limited | PDF (69KB) |
| 29 Mar 2006 | 143/06 | Merrill Lynch Equities (Australia) Limited Berndale Securities Limited |
PDF (52KB) |
| 28 Mar 2006 | P2006/106 | Tolhurst Noall Limited | PDF (54KB) |
| 8 Mar 2006 | 092/06 | State One Stockbroking Limited | PDF (44KB) |
| 2 Mar 2006 | P2006/068 | Perpetual Trustees Consolidated Limited | PDF (44KB) |
| 24 Jan 2006 | 003/06 | JP Morgan Securities Australia Limited | PDF (53KB) |
| 13 Jan 2006 | P2006/011 | ETRADE Australia Securities Limited | PDF (56KB) |
| 9 Jan 2006 | 014/06 | Bell Potter Securities Limited | PDF (52KB) |
| 2 Dec 2005 | P2005/552 | JDV Limited | PDF (65KB) |
| 8 Nov 2005 | P2005/504 | UBS AG | PDF (57KB) |
| 20 Oct 2005 | 519/05 | Wilson HTM Limited | PDF (18KB) |
| 19 Oct 2005 | 517/05 | ETrade Australia Limited | PDF (49KB) |
| 26 Sep 2005 | 473/05 | Gillon Securities Limited | PDF (26KB) |
| 30 May 2005 | 274/05 | Merrill Lynch Equities (Australia) Limited | PDF (21KB) |
| 2 May 2005 | 222/05 | Lodge Partners Pty Ltd HSBC Stockbroking (Australia) Pty Ltd |
PDF (29KB) |
| 15 Mar 2005 | 124/05 | Merrill Lynch Equities (Australia) Limited | PDF (26KB) |
| 10 Feb 2005 | 064/05 | JP Morgan Securities Australia Limited | PDF (20KB) |
| 21 Dec 2004 | 708/04 | A.C.N 008 082 157 Pty Limited Commonwealth Securities Limited |
PDF (27KB) |
| 21 Dec 2004 | P2004/553 | Commonwealth Securities Limited | PDF (16KB) |
| 29 Sep 2004 | P2004/384 | AGT Biosciences Limited | PDF (18KB) |
| 22 Sep 2004 | 480/04 | Mortimer & Chua Pty Ltd Credit Suisse First Boston Australia Equities Limited Tricom Equities Limited |
PDF (35KB) |
| 16 Jun 2004 | 299/04 | Shadforths Limited A.C.N. 008 082 157 Pty Limited National Online Trading Limited Macquarie Equities Limited Ord Minnett Limited |
PDF (58KB) |
| 28 Apr 2004 | 202/04 | Burrell Stockbroking Pty Limited | PDF (21KB) |
| 22 Mar 2004 | 129/04 | Terrain Securities Limited Goldman Sachs Australia Pty Limited |
PDF (25KB) |
| 17 Dec 2003 | 653/03 | Tolhurst Noall Limited | PDF (31KB) |
| 11 Dec 2003 | 634/03 | M.J. Wren and Partners Stockbrokers | PDF (29KB) |
| 24 Sep 2003 | 427/03 | Credit Suisse First Boston Australia Equities Limited Burrell Stockbroking Pty Limited |
PDF (28KB) |
| 25 Aug 2003 | 368/03 | ETRADE Australia Securities Limited | PDF (22KB) |
| 11 Aug 2003 | 346/03 | Joseph Palmer & Sons Lonsdale Securities Limited |
PDF (31KB) |
| 242/03 | Reynolds & Co Pty Limited Bridges Financial Services Pty Limited Shaw Stockbroking Limited National Online Trading Limited |
PDF (52KB) | |
| 159/03 | Deutsche Securities Australia Limited | PDF (21KB) | |
| 10 Apr 2003 | P2003/090 | Perseverance Corporation Limited | PDF (22KB) |
| 104/03 | Salomon Smith Barney Australian Securities Pty Limited Tolhurst Noall Limited |
PDF (22KB) | |
| 025/03 | UBS Warburg Australia Equities Limited Euroz Securities Limited Intersuisse Limited Fleet Stockbrokers Limited |
PDF (28KB) | |
| 18 Dec 2002 | P2002/383 | Bendigo Bank Limited Pima Mining NL |
PDF (28KB) |
| 16 Dec 2002 | 658/02 | AOT Securities Pty Limited | PDF (42KB) |
| 19 Nov 2002 | 599/02 | Macquarie Equities Limited Merrill Lynch Equities (Australia) Limited |
PDF (23KB) |
| 17 Sep 2002 | P2002/274 | M. J. Wren & Partners Stockers Perpetual Trustees Tasmania Limited |
PDF (20KB) |
| 12 Aug 2002 | 443/02 | UBS Warburg Australia Equities Limited Terrain Securities Pty Ltd |
PDF (24KB) |
| 25 Jul 2002 | 413/02 | Wilson HTM Limited Commonwealth Securities Limited Cornerstone Securities Pty Limited |
PDF (27KB) |
| 28 Jun 2002 | 361/02 | Salomon Smith Barney Private Clients Pty Ltd Salomon Smith Barney Australia Securities Pty Limited Falkiners Stockbroking Limited |
PDF (22KB) |
| 5 Jun 2002 | 306/02 | Intersuisse limited A Participating Organisation Austock Brokers Pty Limited Findlay & Co Stockbrokers Limited |
PDF (25KB) |
| 16 Apr 2002 | 186/02 | ETRADE Australia Securities Limited | PDF (23KB) |
| 19 Mar 2002 | 138/02 | Merrill Lynch Private (Australia) Limited D.J. Carmichael Pty Ltd |
PDF (22KB) |
| 8 Feb 2002 | 062/02 | Barton Capital Securities Pty Limited Sanford Securities Limited Johnson Taylor Potter Limited Findlay & Co Stockbrokers Limited JP Morgan Private Financial Services Limited Merrill Lynch Equities (Australia) Limited Merrill Lynch Private (Australia) Limited Berndale Securities Limited Macquarie Equities Limited Taylor Collison Limited D&D-Tolhurst Limited |
PDF (50KB) |
| 8 Jan 2002 | P2002/005 | BNP Paribas Equities Private (Australia) Commonwealth Bank of Australia Limited |
PDF (19KB) |
| 14 Dec 2001 | 638/01 | BNP Paribas Equities Private (Australia) Limited | PDF (16KB) |
| 28 Nov 2001 | 608/01 | Intersuisse Limited Macquarie Equities Limited JP Morgan Securities Australia Limited |
PDF (16KB) |
| 7 Nov 2001 | 567/01 | William Noall Limited | PDF (32KB) |
| 31 Oct 2001 | P2001/259 | Shell Australia Investments Limited | PDF (20KB) |
| 22 Oct 2001 | 548/01 | Burdett Buckeridge Young Limited | PDF (15KB) |
| 24 Sep 2001 | P2001/219 | Findlay & Co Stockbrokers Limited | PDF (16KB) |
| 17 Aug 2001 | 438/01 | Tiffit Securities (Australia) Limited Dragonstock Pty Limited BNP Paribas Equity Finance (Australia) Limited Bowden Securities Limited |
PDF (30KB) |
| 7 Jun 2001 | 292/01 | EPIC Securities Limited Barton Capital Securities Pty Ltd BNP Paribas Equity Finance (Australia) Limited |
PDF (22KB) |
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