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Disqualification register

The individuals listed in this register have been disqualified from holding responsible person roles in APRA regulated entities.

The register uses the following abbreviations for legislation

Disqualifications register
Last nameFirst nameDate effectiveDisqualification power*Entity
AbdallahMahmoud16 January 2004s. 120A(2) SIS Act 
AistropeRodney5 October 2004s. 25A(1) GIHIH Insurance
AllanRussell16 January 2004s. 120A(2) SIS Act 
AllenScott Fitzgerald16 January 2004s. 120A SIS ActSF Allen Superannuation Fund
AntoniouCleo18 May 2004s. 120A(2) SIS ActSSARB Super Fund
BaldockIan Frank21 November 2005s. 120A(1), s. 120A(2) SIS Act 
BarkerNorman Octo20 September 2004s. 120A(2) SIS ActBridlington Nominees Pty Ltd
BarnumGeoffrey7 October 2004GIGeneral Reinsurance Australia Ltd
BarrettSharon May16 January 2004s. 120A SIS ActB & S Barrett Superannuation Fund
BayfordJohn28 February 2003s. 120A(2), s. 120A(3) SIS ActColors Pty Ltd Superannuation Fund
BellIan Michael16 January 2004s. 120A SIS ActBaroda Superannuation Fund
BerridgeClifford17 June 2004s. 120A(1) SIS ActWall & Ceiling Superannuation Fund
BertramBarbara Joan16 January 2004s. 120A(2) SIS Act 
BilinskiG16 January 2004s. 120A(2) SIS Act 
BlairBrigitte16 January 2004s. 120A SIS ActGraphic Art Promotions Superannuation Plan
BlairMaree Alyson16 January 2004s. 120A SIS ActDavid John Blair Superannuation Fund
BouldenAntony27 September 2004s. 25A(1) GIFAI Insurance Ltd
BoxallBrian Kenneth21 July 2003s. 120A(2) SIS ActEndfarm Pty Ltd
BranskyJennifer Marsden16 January 2004s. 120A SIS ActBudawang Superannuation Fund
BrownGregory Ernest2 September 2005s. 25A(1) GI 
BrownThomas John4 July 2007s. 120A(1), s. 120A(2) SIS ActFirezone Protection Services Pty Limited
BrutonJulie24 July 2006s. 120A(3) SIS ActWestern Trucks Superannuation Fund
ButlerJohn6 February 2007s. 25A(1) GIZurich Australia Insurance Limited
ByattChristopher8 October 2004s. 25A(1) GIGeneral Reinsurance Australia Ltd
CainPeter1 April 2003s. 120A(3) SIS ActCommercial Nominees of Australia (CNAL)
CampbellRichard18 June 2004s. 120A(1) SIS ActWall & Ceiling Superannuation Fund
CassidyTerence7 March 2005s. 25A(1) GIHIH Insurance
CatalfamoVincenzo21 July 2003s. 120A(2) SIS ActVictoria Farmhouse Pty Ltd Staff Superannuation Fund
CaugheyBrett David16 January 2004s. 120A SIS ActLinden Investments (NSW) Pty Ltd Superannuation Fund
ChanNorman10 March 2004SIS ActAuditor
ClarkMatthew Marcus16 January 2004s. 120A(2) SIS Act 
ColesGraham Sidney16 January 2004s. 120A SIS ActThe Coles Superannuation Fund
CollinsJamie18 June 2004s. 120A(2) SIS ActWall & Ceiling Superannuation Fund
CurwoodNeil30 September 2002s. 131(1) SIS ActAuditor
DalgleishSimon Rex11 June 2001s. 131(a), s. 131(b) SIS Act 
DerstepanianMargaret11 April 2003s. 120A(3) SIS ActTunstall Bond Superannuation Fund
DerstepanianSarkis11 April 2003s. 120A(3) SIS ActTunstall Bond Superannuation Fund
DoddPauline18 June 2004s. 120A(2) SIS ActWall & Ceiling Superannuation Fund
DriscollBarry John16 January 2004s. 120A(2) SIS Act 
EbbagePaul Gerrard16 January 2004s. 120A(2) SIS Act 
EdwardsRobert17 June 2004s. 120A(2) SIS ActWall & Ceiling Superannuation Fund
EllingsenTore11 October 2004s. 25A(1) GICologne Reinsurance Company (Dublin) Ltd
ElliottRobert France21 June 2004s. 131(1) SIS ActWall & Ceiling Superannuation Fund - Auditor
FearonChristopher13 September 2005s. 120A(1) SIS ActKLA Investments (No 2) Pty Ltd
FlindersCarol Ann16 January 2004s. 120A(2) SIS Act 
FoderaDominic16 July 2005s. 25A(1) GIHIH Insurance
FoleyDamian14 July 2004s. 120A(2) SIS ActStrategic Capital Superannuation Services Pty Ltd
FordKathleen11 November 2003s. 120A(2), s. 120A(3) SIS ActS Ford and Sons Pty Ltd
FordRalph11 November 2003s. 120A(2), s. 120A(3) SIS ActS Ford and Sons Pty Ltd
FordWilliam11 November 2003s. 120A(2), s. 120A(3) SIS ActS Ford and Sons Pty Ltd
FouldsDavid16 November 2004s. 120A(1) SIS ActWall & Ceiling Superannuation Fund
FreemanJeffrey Jack1 July 2003s. 131(1) SIS ActAuditor
GlassAnthony6 August 2004s. 120A(2) SIS ActStrategic Capital Superannuation Services Pty Ltd
GorrieAlexander3 May 2006s. 25A(1) GIHIH Insurance Ltd
GoslingRaymond2 May 2005s. 25A(1) GIHIH Insurance Ltd
GowerCarolyne16 January 2004s. 120A SIS ActMary-Ellen Vinciur Superannuation Fund
GreigRonald William16 January 2004s. 120A(2) SIS Act 
GuildPeter Noble28 July 2004s. 120A(1), s. 120A(2), s. 120A(3) SIS ActKLA Australia Superannuation Fund
HallAnthony David28 November 2002s. 120A(3) SIS ActCommercial Nominees of Australia (CNAL)
HanichCarl Peter30 January 2003s. 120A(3) SIS ActCommercial Nominees of Australia (CNAL)
HarrisPeter Richard16 January 2004s. 120A SIS ActPR Harris Superannuation Fund
HolderJohn Harold27 January 2004s. 120A(1), s. 120A(3) SIS ActCommercial Nominees of Australia (CNAL)
HollowayStephen16 January 2004s. 120A SIS ActSWJ Holloway Superannuation Fund
HoneymanRoss James30 January 2003s. 120A(3) SIS ActCommercial Nominees of Australia (CNAL)
HouldsworthJohn11 October 2004s. 25A(1) GICologne Reinsurance Company (Dublin) Ltd
HullinPaul21 June 2004s. 120A(1) SIS ActWall & Ceiling Superannuation Fund
IsraelDavid Ewan16 January 2004s. 120A SIS ActWestern Hire Co Superannuation Fund
JamesTerrance11 June 2004s. 120A(3) SIS ActEmployees Productivity Award Superannuation Fund
JamesJeffrey11 June 2004s. 120A(3) SIS ActEmployees Productivity Award Superannuation Fund
JohnsonDouglas18 June 2004s. 120A(2) SIS ActWall & Ceiling Superannuation Fund
JonesVicki Lorraine16 January 2004s. 120A SIS ActPD & VL Jones Superannuation Fund
JozsefLaszlo Imre16 January 2004s. 120A SIS ActThe Jozsef Bros Superannuation Fund
KamhaAshraf Ibrahim Helmy20 March 2008s. 25A(1) GIFAI General Insurance Company Limited
KenchGrant Edward24 August 2004s. 120A(3) SIS ActPiggott Wood & Baker Super Fund
KnowlesAnthony James16 January 2004s. 120A SIS ActThe Anthony James Knowles Superannuation Fund
LamontKingsley Clive23 September 2002s. 120A(3) SIS ActOAMPS Ltd
LawsonTerrence Keith6 August 2004s. 120A(2) SIS ActStrategic Capital Superannuation Services Pty Ltd
LoFrederick2 March 2005s. 25A(1) GIHIH Insurance
LongGeorge Burnside20 June 2007s. 120A(1), s. 120A(2) SIS ActFirezone Protection Services Pty Limited
MainprizeTimothy19 October 2004s. 25A(1) GIFAI Insurance Ltd
MaughanMichael5 September 2003s. 120A(3) SIS ActS Ford and Sons Pty Ltd
McCaffertyJohn Tony3 April 2007s. 120A(2) SIS ActGavex Pty Ltd
McGarryMichael Anthony21 November 2005s. 120A(1), s. 120A(2), s. 120A(3) SIS Act 
MearnsBryan16 January 2004s. 120A SIS ActMearns McLellan Superannuation Fund
MeikleRoger Paul28 April 2003s. 120A(3) SIS ActCommercial Nominees of Australia (CNAL)
Mlikota (nee Parkinson)Jane24 April 2003s. 120A(2), s. 120A(3) SIS ActColors Pty Ltd Superannuation Fund
MostinaStephen16 January 2004s. 120A(2) SIS Act 
NeimanisMaris28 July 2004s. 120A(1), s. 120A(2), s. 120A(3) SIS ActKLA Australia Superannuation Fund
NolanPeter Thomas16 January 2004s. 120A SIS ActPeter Nolan Superannuation Fund
NorrisDeborah16 January 2004s. 120A SIS ActRockmaze Pty Ltd 1992 Superannuation Plan
O'DohertyJames Denis16 January 2004s. 120A(2) SIS Act 
OsborneRamon12 July 2004s. 120A(2) SIS ActBridlington Nominees Pty Ltd ACN 008 893 301
PaluszakGail16 January 2004s. 120A SIS ActGJ Trotter Superannuation Fund
ParsonsRex29 January 2004SIS ActBunya Chalets Employee Superannuation Fund
ParsonsonAlan28 February 2007s. 25A(1) GIZurich Australia Insurance Limited
PatersonPeter Reid16 January 2004s. 120A SIS ActPeter Paterson Superannuation Fund
PearsonHenry James16 January 2004s. 120A SIS ActPearson Private Pension Fund
PontonReginald N15 March 2000s. 131(1)(b) SIS Act 
PreussJurgen (John)3 December 2002s. 120A(3) SIS ActAustralian Independent Superannuation Fund (ASIF)
PriceCharles T16 January 2004s. 120A SIS ActCT & PA Price Pty Ltd Superannuation Fund
ProvanPaul James19 June 2007s. 120A(1), s. 120A(2) SIS ActFirezone Protection Services Pty Limited
RauberIan Douglas16 January 2004s. 120A SIS ActIH Constructions Superannuation Fund
RaynoldsMorita16 January 2004s. 120A SIS ActHind Superannuation Fund
RenoufKelly16 January 2004s. 120A SIS ActSt Tropez Superannuation Fund
RidingsWayne17 June 2004s. 120A(1) SIS ActWall & Ceiling Superannuation Fund
RileySusan16 January 2004s. 120A SIS ActRhm Group Superannuation Fund
RipperNicholas Webster15 March 2000s. 131(1)(b) SIS Act 
RobinsonErica Jane28 November 2002s. 120A(3) SIS ActCommercial Nominees of Australia (CNAL)
RoehrKelvin5 May 2004s. 120A(1), s. 131(1)(a) SIS ActStrategic Capital Superannuation Fund - Auditor
SaundersKevin16 January 2004s. 120A(2) SIS Act 
SeeKevin Francis16 January 2004s. 120A SIS ActK See Superannuation Fund
SelfJohn Lindsay1 October 2004s. 25A(1) GIGeneral Reinsurance Australia Limited
ShawGeoffrey James16 January 2004s. 120A SIS ActThe Shaw Superannuation Fund
SilsbyAllan Kenneth16 May 2007s. 120A(1), s. 120A(2) SIS ActFirezone Protection Services Pty Limited
SkinnerAndrew Bryden26 November 2002s. 120A(3) SIS ActCommercial Nominees of Australia (CNAL)
SleeDavid8 September 2004s. 44(1) GIDavid Slee Consulting Pty Ltd
SmithGarry Walter16 August 2004s. 120A(3) SIS ActSmith Group Super Fund
SmithStephen Trevor16 January 2004s. 120A SIS ActThe Technical Software People Superannuation Fund
SpinksMalcolm John2 July 2007s. 120A(1), s. 120A(2) SIS ActFirezone Protection Services Pty Limited
StanbridgeJohn24 October 2006s. 25A(1) GIZurich Australia Insurance Limited
StapletonRobert18 June 2004s. 120A(2) SIS ActWall & Ceiling Superannuation Fund
StavrosGeorge18 May 2004s. 120A(2) SIS ActSSARB Super Fund
SteeleRobert William16 January 2004s. 120A SIS ActRobert & Jill Steele Superannuation Fund
StephensonAaron Geoffrey3 November 2004GIRural & General Insurance Limited
StevensonRobert5 February 2007s. 25A(2) GIZurich Australia Insurance Company
StewartGraham W30 April 2004s. 120A(2), s. 120A(3) SIS ActHarts Staff Superannuation Pty Ltd
StewartTony16 January 2004s. 120A SIS ActStewart Superannuation Fund
SturestepsGeorge Osvald6 April 2005s. 25A(1) GI 
ThompsonPeter Butler5 September 2005s. 25A(1) GI 
ThomsonIan William28 July 2004s. 120A(1), s. 120A(2), s. 120A(3) SIS ActKLA Australia Superannuation Fund
ThrowdenJohn Leaver3 February 2006s. 21(2) BA 
TomsicKim16 January 2004s. 120A SIS ActTomsic Superannuation Fund
TuckfieldJohn1 February 2005s. 25A(1) GI 
TurnerJohn T.24 June 2004s. 120A(3) SIS ActPiggot Wood & Barker
UngaroEmmanuel Henry26 June 2007s. 120A(1), s. 120A(2) SIS ActFirezone Protection Services Pty Limited
van RensMichael John6 August 2004s. 120A(2) SIS ActStrategic Capital Superannuation Services Pty Ltd
VukelicMilan17 July 2007s. 25A(1) GI 
WallGlenn28 July 2004s. 120A(1), s. 120A(2), s. 120A(3) SIS ActKLA Australia Superannuation Fund
WardellLeonia16 January 2004s. 120A(2) SIS Act 
WhiteAshley21 June 2004s. 120A(2) SIS ActWall & Ceiling Superannuation Fund
WilkieDaniel9 November 2004s. 25A(1) GIFAI Insurances Limited
WilliamsPaul15 August 2007s. 25A(1) GINew Cap Reinsurance Australia
WoolacottKerry Clifford21 November 2005s. 120A(1), s. 120A(2) SIS Act 
ZuppicichJuliette23 May 2003s. 120A(2), s. 120A(3) SIS ActColors Pty Ltd Superannuation Fund
ZuppicichNorman28 February 2003s. 120A(2), s. 120A(3) SIS ActColors Pty Ltd Superannuation Fund
--16 January 2004s. 120A(2) SIS ActB & C Wood Management Pty Ltd
--16 January 2004s. 120A(2) SIS ActBuner Pty Ltd
--16 January 2004s. 120A(2) SIS ActDR Glass & Glazing 24 HR Glass Trading Pty Ltd
--16 January 2004s. 120A(2) SIS ActDuval Consulting Group Pty Ltd
--16 January 2004s. 120A(2) SIS ActElder Thies Super Pty Ltd
--16 January 2004s. 120A(2) SIS ActFarmland Investments Pty Ltd
--16 January 2004s. 120A(2) SIS ActFarrer Holdings Pty Ltd
--16 January 2004s. 120A(2) SIS ActFelcon Holdings Pty Ltd
--16 January 2004s. 120A(2) SIS ActG.I. Hockings Endocrinology Pty Ltd
--16 January 2004s. 120A(2) SIS ActHull-Moody Quality Finishes Pty Ltd
--16 January 2004s. 120A(2) SIS ActInternational Resources Consultants Pty Ltd
--16 January 2004s. 120A(2) SIS ActK.J. Carpenter Pty Ltd
--16 January 2004s. 120A(2) SIS ActM & H Welding Pty Ltd
--16 January 2004s. 120A(2) SIS ActMaxwell Business Equipment Hire Pty Ltd
--16 January 2004s. 120A(2) SIS ActMogdon Investments Pty Ltd
--16 January 2004s. 120A(2) SIS ActOxbow Consulting Pty Limited
--16 January 2004s. 120A(2) SIS ActPaul Howes & Associates Pty Ltd
--16 January 2004s. 120A(2) SIS ActPonsonby Pty Limited
--16 January 2004s. 120A(2) SIS ActPride Plumbing Services Pty Ltd
--16 January 2004s. 120A(2) SIS ActRaja Super Pty Ltd
--16 January 2004s. 120A(2) SIS ActSwdr Pty Ltd
--16 January 2004s. 120A(2) SIS ActThe King Superannuation Co. Pty Ltd
--16 January 2004s. 120A(2) SIS ActThe Salmon Man Pty Ltd
--16 January 2004s. 120A(2) SIS ActTrog Pty Ltd
--16 January 2004s. 120A(2) SIS ActVeera Pty Ltd
--16 January 2004s. 120A(2) SIS ActWaltkab Pty Ltd

* Disqualification powers that have been exercised may have been subsequently amended or removed by the Financial Sector Legislation Amendment (Review of Prudential Decisions) Act 2008. 

Disqualifications revoked

Disqualification revoked
Last nameFirst nameDisqualification dateDisqualification power*Effective revocation dateRevocation powerEntity
BurroughsStephen18 November 2004s. 25A(1), GI24 June 2016s. 26(1)(a), GIHIH Insurance
SmithJohn Andrew5 October 2004s. 25A(1), GI19 July 2017s. 26(1)(a), GIGeneral Reinsurance Australia Limited
SzuchWilliam10 October 2006s. 94(3), LI20 March 2018s. 245B(1)(b), LI 
WrightJames Hebden16 January 2004s. 120A SIS Act5 March 2024s. 126J(1)(a) SIS ActThe Wright Directors and Executives Superannuation Fund

* Disqualification powers that have been exercised may have been subsequently amended or removed by the Financial Sector Legislation Amendment (Review of Prudential Decisions) Act 2008. 

Powers

APRA may apply to the Federal Court seeking orders that a person be disqualified from responsible person roles in a regulated industry. The Court has a variety of powers available to it, including specifying the period of any disqualification, the roles the disqualification relates to, and whether the disqualification is limited to a specific entity, class of entity or any entity under the relevant Act. The Court also has powers to revoke or vary a disqualification.

APRA may also disqualify ‘accountable persons’ without applying to the Federal Court in accordance with the Banking Executive Accountability Regime (BEAR), which is set out in Part IIAA of the BA. APRA’s BEAR disqualification powers commenced on 1 July 2018 for large authorised deposit-taking institutions (ADIs) and 1 July 2019 for small and medium ADIs.
 
An individual can also automatically become a ‘disqualified person’; for example, if he or she is convicted of an offence involving dishonest conduct or becomes bankrupt. APRA’s disqualification register does not record automatic disqualifications.

Process

APRA may become concerned about an individual’s fitness and propriety or conduct through its normal supervision work, formal investigations, other information provided to APRA, such as under whistleblower provisions, or from other regulators.
 
Once a concern is identified, APRA first undertakes a preliminary assessment of the circumstances and evidence available about the individual’s alleged conduct. If satisfied that a sound case has been made for disqualification, APRA may commence proceedings in the Federal Court.   
 
In the event the Court orders the individual be disqualified, APRA is required to notify the relevant employer and to publish a notice in the Commonwealth Government Gazette. A record of the disqualification is also entered on the disqualification register. A media release may also be issued. If appropriate, APRA advises other regulators and any relevant professional associations.

Former powers

Prior to 26 May 2008, APRA had powers under the BA, GI, LI and SIS Act to disqualify individuals from holding responsible person roles in APRA regulated entities. APRA’s administrative decision to disqualify an individual was subject to internal and external review upon request. The Financial Sector Legislation Amendment (Review of Prudential Decisions) Act 2008 (FSLA Act) removed APRA’s disqualification powers. The FSLA Act introduced the court-based disqualification process for individuals referred to above.

Appeals

A disqualified individual can appeal the decision of the Court or a decision of the Regulator made before 2008. The Federal Court Rules apply to such appeals.

A disqualified person may apply to the Court to have a disqualification revoked or varied at any time. Alternatively, APRA may apply to the Court seeking such Orders.