Anil Vazirani Scottsdale Investment Advisor shares Inside look: A Merrill Lynch investigation into broker cold-calling In the months prior, Elliott, then the resident director of Merrill’s Peoria, Arizona, office, had been texting tips to a trainee on how to land her first client, and messaging a colleague about a gala. A more pressing matter was…
Anil Vazirani Scottsdale Investment Advisor shares Transamerica sold variable annuity exchanges with inaccuracies: FINRA
Anil Vazirani Scottsdale Investment Advisor shares Transamerica sold variable annuity exchanges with inaccuracies: FINRA By Tobias Salinger December 23, 2020, 6:01 p.m. EST3 Min Read Near the start of the new year, Transamerica Financial Advisors may be finished paying for alleged regulatory woes from the first half of the recently completed decade. The wealth…
Anil Vazirani Scottsdale Investment Advisor shares UBS Clients were Burned by Yield Enhancement Strategy
https://retirementplanningscottsdale.com/2019/12/30/anil-vazirani-scottsdale-investment-advisor-shares-ubs-clients-burned-by-iron-condor-strategy/ UBS clients who were invested in a leveraged, esoteric options strategy described as a “conservative” and “low risk” way to get extra yield from their portfolios were shell shocked by losses greater than 20% that they experienced at the end of last year. Many are now accusing the firm, and the two advisors who…