ASIC Banned and Disqualified Persons
People listed in ASIC’s weekly snapshot of corporate, financial-service, credit, securities, futures and SMSF-auditor bans or disqualifications.
Source availability
Available for screening
7,227 source records are available in the current dataset.
Records can overlap across lists; this is not a count of unique people or organizations.
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- Our refresh schedule
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Data overview
ASIC Banned and Disqualified Persons is published by Australian Securities and Investments Commission.
The available version contains 7,227 source records before any name search.
The entity-type breakdown is 7,227 people.
- Source records
- 7,227
- Publicly browsable records
- 7,227
- Entity types present
- 1
Record types and how to read these counts
Records by entity type
- People
- 7,227
- Other / unspecified
- 0
What these numbers mean
Counts describe this source’s current available records, before any name search. Records can overlap within and across lists. They are not counts of unique entities.
Publicly browsable records are the portion available in the public directory. A record’s presence does not by itself establish an active sanction.
Organizations include companies and other bodies. Other / unspecified means the source record has no more specific supported type.
What this source covers
Records retain each distinct published row and its order-document reference. Similar names and repeated document references are not assumed to identify the same person. These are role-specific regulatory restrictions, not asset freezes. Historical entries and restrictions subject to permissions or review remain visible with their stated scope.
Read the individual ASIC order
Review ASIC’s original register and order. Source comments can be truncated and can describe stays, replaced decisions, revocations or limited permissions. Unknown or unresolved comment scope, conflicting end dates and invalid periods are excluded from current matching and retained for reference. A missing end date does not establish permanence. Rows with unqualified publication-restriction or publication-stay wording remain only in the private original artifact. Corrections change content-fingerprint record URLs.
- Identify the order type and official reference.
- Read the start, end and any variation or cancellation.
- Distinguish the person’s identity from the activities restricted by each order.
Public source records
- NEWBOUND, BRETTASIC records a financial-services restriction for NEWBOUND, BRETT. The published period runs from 1 May 2025 to 30 Apr 2035.PersonASIC Banned and Disqualified Persons
- ROTHNIE, MARK ALEXANDERASIC records a financial-services restriction for ROTHNIE, MARK ALEXANDER. The published period runs from 29 Jul 2019 to 28 Jul 2022. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- ANDERSON, BENJAMIN HAROLDASIC records a director disqualification for ANDERSON, BENJAMIN HAROLD. The published period runs from 23 Sep 2024 to 22 Sep 2028.PersonASIC Banned and Disqualified Persons
- MCMULLEN, ROBERT LESLIEASIC records a director disqualification for MCMULLEN, ROBERT LESLIE. The published period runs from 3 Mar 1989 to 3 Mar 1994. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- TOMA, ALISTAIRASIC records a director disqualification for TOMA, ALISTAIR. The published period runs from 17 Jun 2010 to 16 Dec 2011. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- PEARSON, MARION JOANASIC records a financial-services restriction for PEARSON, MARION JOAN. The source gives 3 Nov 2015 as the start date.PersonASIC Banned and Disqualified Persons
- SGRO, ANTONIO CARMELOASIC records a director disqualification for SGRO, ANTONIO CARMELO. The published period runs from 4 Apr 2007 to 4 Apr 2012. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- SPERLING, ARTHUR EDWARDASIC records a credit restriction for SPERLING, ARTHUR EDWARD. The published period runs from 9 Apr 2013 to 9 Apr 2018. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- WHELAN, LINDA RAEASIC records a financial-services restriction for WHELAN, LINDA RAE. The source gives 14 Oct 2016 as the start date.PersonASIC Banned and Disqualified Persons
- FOWLER, CHRISTOPHER MICHAELASIC records a director disqualification for FOWLER, CHRISTOPHER MICHAEL. The published period runs from 6 Dec 1995 to 6 Dec 1998. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- ERRECHETTI, PETER ROCKYASIC records a director disqualification for ERRECHETTI, PETER ROCKY. The published period runs from 11 Jul 2002 to 11 Jan 2005. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- SCOTT, MELINDAASIC records a director disqualification for SCOTT, MELINDA. The published period runs from 3 Dec 2012 to 2 Dec 2037.PersonASIC Banned and Disqualified Persons
- AHMED, MOHAMED MAKI EBRAHIMASIC records a credit restriction for AHMED, MOHAMED MAKI EBRAHIM. The source gives 15 Nov 2018 as the start date.PersonASIC Banned and Disqualified Persons
- DODDS, DAMIAN GREGORYASIC records a director disqualification for DODDS, DAMIAN GREGORY. The published period runs from 30 Nov 2018 to 29 May 2021. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- STERRY, WAYNE ALEXANDERASIC records a director disqualification for STERRY, WAYNE ALEXANDER. The published period runs from 14 Sep 2016 to 13 Sep 2018. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- MUSCAT, FRAZER JONASIC records a financial-services restriction for MUSCAT, FRAZER JON. The published period runs from 14 Jun 2019 to 13 Jun 2024. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- HAWKINS, DAVID CHARLESASIC records a director disqualification for HAWKINS, DAVID CHARLES. The published period runs from 23 Aug 2010 to 22 Aug 2014. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- WINSTON, JAYE NICOLEASIC records a credit restriction for WINSTON, JAYE NICOLE. The published period runs from 15 Jun 2009 to 15 Jun 2016. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- SCOTT, JAMES ALEXANDERASIC records a financial-services restriction for SCOTT, JAMES ALEXANDER. The source gives 22 Mar 2005 as the start date.PersonASIC Banned and Disqualified Persons
- COAKLEY, LLYOD ANTONYASIC records a director disqualification for COAKLEY, LLYOD ANTONY. The published period runs from 26 Oct 2006 to 26 Oct 2008. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- RODWELL, RICKASIC records a director disqualification for RODWELL, RICK. The published period runs from 7 Apr 2011 to 6 Oct 2013. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- BRINKIES, JUSTIN BENJAMIN JAMESASIC records a director disqualification for BRINKIES, JUSTIN BENJAMIN JAMES. The published period runs from 15 Sep 2021 to 14 Sep 2023. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- CRAGO, DOUGLAS JAMESASIC records a director disqualification for CRAGO, DOUGLAS JAMES. The published period runs from 21 Sep 2005 to 21 Sep 2010. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- KORDAKIS, DORAASIC records a director disqualification for KORDAKIS, DORA. The published period runs from 10 Jan 1996 to 10 Sep 1997. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- SHEUNG, KINONASIC records a financial-services restriction for SHEUNG, KINON. The source gives 22 Mar 2007 as the start date.PersonASIC Banned and Disqualified Persons
- SCHROEDER, MARKASIC records a financial-services restriction for SCHROEDER, MARK. The published period runs from 21 Oct 2019 to 20 Oct 2025. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- CARATTI, ALLEN BRUCEASIC records a director disqualification for CARATTI, ALLEN BRUCE. The published period runs from 8 Oct 2024 to 7 Oct 2028.PersonASIC Banned and Disqualified Persons
- BYRNES, JAMES WARRENASIC records a director disqualification for BYRNES, JAMES WARREN. The published period runs from 5 Nov 1998 to 5 Nov 2001. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- FARNHAM, LESLIE GEORGEASIC records a director disqualification for FARNHAM, LESLIE GEORGE. The published period runs from 15 Sep 1994 to 14 Nov 1996. This source entry is excluded from current screening matches.PersonASIC Banned and Disqualified Persons
- GARDINER, JAYASIC records a director disqualification for GARDINER, JAY. The published period runs from 5 Mar 2026 to 4 Mar 2030.PersonASIC Banned and Disqualified Persons
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Questions about ASIC Banned and Disqualified Persons
Who publishes ASIC Banned and Disqualified Persons?
The catalog identifies Australian Securities and Investments Commission as the publisher in AU. Open the publisher reference. SanctionsKit’s source profile is separate from that publisher’s original records and notices.
Can I select ASIC Banned and Disqualified Persons for screening?
The current source snapshot marks ASIC Banned and Disqualified Persons as available for screening. Select its source ID, au-asic-banned-persons, when your policy requires it. Check availability again when you run a request. This status does not by itself grant public browsing or export rights.
Can I browse current ASIC Banned and Disqualified Persons records here?
Current public records from ASIC Banned and Disqualified Persons can be browsed here. The current source contains 7,227 records. This counts source records, not distinct people, companies or assets. An empty name search is not a completed screening check.
May I reuse or export ASIC Banned and Disqualified Persons records?
Access to ASIC Banned and Disqualified Persons does not grant every right to copy, export or redistribute it. Read the source reuse terms and the attribution notice for the version you use. A public record page or working screening integration is not an export permission. Follow the conditions that apply to your intended use.
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Source discovery reference: Original publishing authority, captured . Import and record counts above come from SanctionsKit.