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 details | FAAA member ID | Member category | Effective date | FAAA Constitution reason |
Christoper Edward Luff | 361827 | AFP | 29.07.2024 | Banning under Corporations Act |
Joel Hewish | 361242 | AFP | 22.07.2024 | Banning under Corporations Act |
Glenda Rogan | 028042 | CFP | 14.05.2024 | 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 McDonald | 029335 | CFP | 23.10.2023 | 72.f.(i) Non payment monetary sanction levied by Conduct Review Commission |
Don Cuthbertson | 036367 | Practitioner | 08.08.2023 | 72.c. Banning order under Corporations Act |
Son Hyunh | 350042 | AFP | 15.05.2023 | 16.1 (a) * |
Des Tsagatos | 013213 | AFP | 08.02.2023 | 16.1 (j) * |
Rodney Hudson | 036986 | AFP | 19.08.2022 | 16.1 (a) * |
Graham Yates | 006868 | Retired | 30.03.2022 | Automatic expulsion due to Clause 16 of the FPA Constitution * |
Craig Allen | 349719 | AFP | 14.12.2021 | Banning order under Corporations Act |
Gerald Cummings | 028050 | CFP | 12.12.2021 | Banning order under Corporations Act |
Gavin Daniel Fineff | 346599 | CFP | 22.05.2021 | Not a fit and proper person |
Bradley W Smith | 022293 | CFP | 13.05.2021 | Banning order under Corporations Act |
Scott John Morrison | 360167 | Associate | 05.05.2020 | Banning order under Corporations Act |
Alexander Bruce Thomas | 338875 | AFP | 30.04.2020 | Banning order under Corporations Act |
David O’Brien | 358371 | Associate | 20.12.2019 | Banning order under Corporations Act |
Wendy Michelle Chapman | 342204 | AFP | 02.12.2019 | Banning order under Corporations Act |
Lawrence O’Neill | 002694 | CFP | 25.11.2019 | Banning order under Corporations Act |
Frazer Muscat | 348634 | AFP | 08.07.2019 | Banning order under Corporations Act |
Tai Thanh Nguyen | 025424 | CFP | 01.03.2019 | Banning order under Corporations Act |
Ian Haisman | 347152 | AFP | 01.03.2019 | Ceases to satisfy eligibility criteria |
James Harman | 009650 | AFP | 01.03.2019 | Ceases to satisfy eligibility criteria |
Maria Cheer | 350947 | AFP | 01.03.2019 | Ceases to satisfy eligibility criteria |
Rudolph Hopfner | 356820 | Allied Professional | 18.02.2019 | Ceases to satisfy eligibility criteria |
Harry Matsoukas | 37872 | CFP | 03.09.2018 | Authorisation revoked by AFSL |
Brett Gordon | 13268 | CFP | 04.09.2018 | Fit and proper person |
Pheaktra (Patrick) Sem | 356583 | AFP | 04.09.2018 | Authorisation revoked by AFSL |
Leanne McDonald | 30567 | CFP | 04.09.2018 | Authorisation revoked by AFSL |
Neil Evans | 15177 | CFP | 10.07.2018 | Fit and proper person |
Wayne Lear | 299 | CFP | 21.05.2018 | Auto-termination |
Ezzat-Daniel Nesseim | 324310 | CFP | 17.05.2018 | Banning order under Corporations Act |
Christopher Ramsey | 023978 | Associate | 26.02.2018 | Banning order under Corporations Act |
Mark Roberts | 343310 | AFP | 16.01.2018 | Eligibility for membership ceased – ASIC enforceable undertaking not to provide financial services for 2 years |
Robert Pryor Smith | 309 | CFP | 12.01.2018 | Banning order under Corporations Act |
Michael Davie | 328075 | CFP | 16.10.2017 | Banning under Corporations Act |
Jason Atkins | 38481 | AFP | 19.07.2017 | Banning order under Corporations Act |
Adrian Chenh | 352387 | AFP | 04.04.2017 | Banning order under Corporations Act |
Dahlia Thai | 348215 | CFP | 06.01.2017 | Knowingly fail to disclose information on application |
Andrew Tambyrajah | 335917 | CFP | 08.12.2016 | Banning order under Corporations Act |
James Gibbs | 12975 | CFP | 19.10.2016 | Automatic termination of membership |
Sarah Gardner | 020924 | CFP | 17.08.2016 | Banning order under Corporations Act |
Dean Jeffrey Williams | 336309 | CFP | 15.06.2016 | Knowingly fail to disclose information on application |
Raghwa Prasad | 334810 | CFP | 19.08.2015 | Banning order under Corporations Act |
Robert Tomasello | 013100 | CFP | 31.07.2015 | Breach of FPA Code |
Shane Thompson | 26732 | CFP | 17.02.2015 | Failure to pay penalty imposed by CRC |
Michael Irwin | 13235 | CFP | 18.09.2014 | Banning order under Corporations Act |
Paul Foster | 20533 | CFP | 21.06.2014 | Failure to pay penalty imposed by CRC |
Grant P Thompson | 32066 | AFP | 12.06.2014 | Banning order under Corporations Act |
Alfie Chong | 13742 | CFP | 09.06.2014 | Authorisation revoked by AFSL |
Alex Khoo | 6459 | CFP | 22.10.2012 | Banning order under Corporations Act |
Lynette Hughes | 35459 | AFP | 25.08.2012 | Failure to pay penalty imposed by CRC |
Janeece Giraldo | 10845 | AFP | 16.08.2012 | Banning order under Corporations Act |
Steven Burge | 10938 | CFP | 31.07.2012 | Member insolvent under administration |
Joe Chan | 336853 | AFP | 01.06.2012 | Banning order under Corporations Act |
Alan Kenyon | 592 | AFP | 29.05.2012 | Member insolvent under administration |
Stuart Jamieson | 29884 | CFP | 17.05.2012 | Authorisation revoked by AFSL |
Simon Turudia | 35680 | CFP | 13.01.2012 | Authorisation revoked by AFSL |
Mervyn Ross Tarrant | 13872 | CFP | 29.11.2011 | Banning order under Corporations Act |
Dennis Cummins | 13554 | AFP | 19.11.11 | Member insolvent under administration |
Peter Seagrim | 4575 | CFP | 04.07.2011 | Banning order under Corporations Act |
Anne-Marie Seagrim | 11639 | CFP | 30.06.2011 | Banning order under Corporations Act |
Robert Wintour | 24694 | AFP | 27.05.2011 | Member insolvent under administration |
Shaun Fitzgerald | 23158 | CFP | 18.03.2011 | Automatic termination of membership |
Don Nguyen | 30494 | CFP | 08.03.2011 | Banning order under Corporations Act |
Trevor Carll | 12779 | CFP | 21.02.2011 | Banning order under Corporations Act |
ACN 003 636 968 Pty Ltd (Formerly Total Financial Solutions Pty Ltd) | 34440 | Principal Member | 03.12.2010 | Ceased to hold AFSL |
Prosperity Advisers Pty Ltd | 332449 | Principal Member | 06.10.2010 | Externally administered body corporate |
Warwick Ryan | 25727 | CFP | 17.09.2010 | Member insolvent under administration |
Tarrants Financial Consultants Pty Ltd | 33793 | Principal Member | 09.08.2010 | Externally administered body corporate |
Simon Langton | 35109 | AFP | 23.06.2010 | Authorisation revoked by AFSL |
Rollo Sherriff | 15352 | CFP | 30.03.2010 | Member insolvent under administration |
Blinded | Blinded | Principal Member | 17.07.2009 | Externally administered body corporate |
Maurice Terreiro | 11866 | CFP | 29.06.2009 | Member insolvent under administration |
*Terminated under FPA Constitution version in force at date of termination.