Determinations & Sanctions

A list of terminated members.

Under the FAAA Constitution, members may be automatically terminated upon entering administration or personal bankruptcy, being banned by ASIC, being dismissed or having their authorisation revoked by their authorising AFSL because of a breach of the law, failing to comply with a disciplinary sanction, and for other reasons.

Member detailsFAAA member IDMember categoryEffective dateFAAA Constitution reason
Christoper Edward Luff361827AFP29.07.2024Banning under Corporations Act
Joel Hewish361242AFP22.07.2024Banning under Corporations Act
Glenda Rogan028042CFP14.05.2024

Not a fit and proper person to hold FAAA membership.

As published in our disciplinary register, we have terminated the membership of Glenda Rogan, following complaints raised by former clients of hers.  If you are a client of Glenda Rogan, and are concerned about advice that may have been provided, please contact our Professional Standards Team at professional.standards@faaa.au

Kerry McDonald029335CFP23.10.202372.f.(i) Non payment monetary sanction levied by Conduct Review Commission
Don Cuthbertson036367Practitioner08.08.202372.c. Banning order under Corporations Act
Son Hyunh350042AFP15.05.202316.1 (a) *
Des Tsagatos013213AFP08.02.202316.1 (j) *
Rodney Hudson036986AFP19.08.202216.1 (a) *
Graham Yates006868Retired30.03.2022Automatic expulsion due to Clause 16 of the FPA Constitution *
Craig Allen349719AFP14.12.2021Banning order under Corporations Act
Gerald Cummings028050CFP12.12.2021Banning order under Corporations Act
Gavin Daniel Fineff346599CFP22.05.2021Not a fit and proper person
Bradley W Smith022293CFP13.05.2021Banning order under Corporations Act
Scott John Morrison360167Associate05.05.2020Banning order under Corporations Act
Alexander Bruce Thomas338875AFP30.04.2020Banning order under Corporations Act
David O’Brien358371Associate20.12.2019Banning order under Corporations Act
Wendy Michelle Chapman342204AFP02.12.2019Banning order under Corporations Act
Lawrence O’Neill002694CFP25.11.2019Banning order under Corporations Act
Frazer Muscat348634AFP08.07.2019Banning order under Corporations Act
Tai Thanh Nguyen025424CFP01.03.2019Banning order under Corporations Act
Ian Haisman347152AFP01.03.2019Ceases to satisfy eligibility criteria
James Harman009650AFP01.03.2019Ceases to satisfy eligibility criteria
Maria Cheer350947AFP01.03.2019Ceases to satisfy eligibility criteria
Rudolph Hopfner356820Allied Professional18.02.2019Ceases to satisfy eligibility criteria
Harry Matsoukas37872CFP03.09.2018Authorisation revoked by AFSL
Brett Gordon13268CFP04.09.2018Fit and proper person
Pheaktra (Patrick) Sem356583AFP04.09.2018Authorisation revoked by AFSL
Leanne McDonald30567CFP04.09.2018Authorisation revoked by AFSL
Neil Evans15177CFP10.07.2018Fit and proper person
Wayne Lear299CFP21.05.2018Auto-termination
Ezzat-Daniel Nesseim324310CFP17.05.2018Banning order under Corporations Act
Christopher Ramsey023978Associate26.02.2018Banning order under Corporations Act
Mark Roberts343310AFP16.01.2018Eligibility for membership ceased – ASIC enforceable undertaking not to provide financial services for 2 years
Robert Pryor Smith309CFP12.01.2018Banning order under Corporations Act
Michael Davie328075CFP16.10.2017Banning under Corporations Act
Jason Atkins38481AFP19.07.2017Banning order under Corporations Act
Adrian Chenh352387AFP04.04.2017Banning order under Corporations Act
Dahlia Thai348215CFP06.01.2017Knowingly fail to disclose information on application
 Andrew Tambyrajah335917CFP08.12.2016Banning order under Corporations Act
James Gibbs12975CFP19.10.2016Automatic termination of membership
Sarah Gardner020924CFP17.08.2016Banning order under Corporations Act
Dean Jeffrey Williams336309CFP15.06.2016Knowingly fail to disclose information on application
Raghwa Prasad334810CFP19.08.2015Banning order under Corporations Act
Robert Tomasello013100CFP31.07.2015Breach of FPA Code
Shane Thompson26732CFP17.02.2015Failure to pay penalty imposed by CRC
Michael Irwin13235CFP18.09.2014Banning order under Corporations Act
Paul Foster20533CFP21.06.2014Failure to pay penalty imposed by CRC
Grant P Thompson32066AFP12.06.2014Banning order under Corporations Act
Alfie Chong13742CFP09.06.2014Authorisation revoked by AFSL
Alex Khoo6459CFP22.10.2012Banning order under Corporations Act
Lynette Hughes35459AFP25.08.2012Failure to pay penalty imposed by CRC
Janeece Giraldo10845AFP16.08.2012Banning order under Corporations Act
Steven Burge10938CFP31.07.2012Member insolvent under administration
Joe Chan336853AFP01.06.2012Banning order under Corporations Act
Alan Kenyon592AFP29.05.2012Member insolvent under administration
Stuart Jamieson29884CFP17.05.2012Authorisation revoked by AFSL
Simon Turudia35680CFP13.01.2012Authorisation revoked by AFSL
Mervyn Ross Tarrant13872CFP29.11.2011Banning order under Corporations Act
Dennis Cummins13554AFP19.11.11Member insolvent under administration
Peter Seagrim4575CFP04.07.2011Banning order under Corporations Act
Anne-Marie Seagrim11639CFP30.06.2011Banning order under Corporations Act
Robert Wintour24694AFP27.05.2011Member insolvent under administration
Shaun Fitzgerald23158CFP18.03.2011Automatic termination of membership
Don Nguyen30494CFP08.03.2011Banning order under Corporations Act
Trevor Carll12779CFP21.02.2011Banning order under Corporations Act
ACN 003 636 968 Pty Ltd (Formerly Total Financial Solutions Pty Ltd)34440Principal Member03.12.2010Ceased to hold AFSL
Prosperity Advisers Pty Ltd332449Principal Member06.10.2010Externally administered body corporate
Warwick Ryan25727CFP17.09.2010Member insolvent under administration
Tarrants Financial Consultants Pty Ltd33793Principal Member09.08.2010Externally administered body corporate
Simon Langton35109AFP23.06.2010Authorisation revoked by AFSL
Rollo Sherriff15352CFP30.03.2010Member insolvent under administration
BlindedBlindedPrincipal Member17.07.2009Externally administered body corporate
Maurice Terreiro11866CFP29.06.2009Member insolvent under administration
*Terminated under FPA Constitution version in force at date of termination.