A former branch of stockbroking giant Morgans that is currently at the centre of legal claims for bad advice had been hit with financial regulation breaches, according to internal regulatory documents.
The breaches were described as “concerning” in internal emails within the Australian Securities and Investments Commission but the details have been redacted.
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Liam Walsh writes on investigations and companies with The Australian Financial Review. He has won multiple media awards, worked in Japan and is now based in Brisbane. Email Liam at liam.walsh@afr.com.au
