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Tag: Finra

Home Posts Tagged "Finra"

Anil Vazirani Scottsdale Investment Advisor shares Inside look: A Merrill Lynch investigation into broker cold-calling

February 11, 2021Financial Advisor Scottsdale AzRetirement Planning ScottsdaleFinra, J.P. Morgan Securities, Lawsuit, unauthorized trading

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…

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Anil Vazirani Scottsdale Investment Advisor shares Grandma wins $19M case against J.P. Morgan and 2 advisors (her grandsons)

February 11, 2021Financial Advisor Scottsdale AzRetirement Planning ScottsdaleFinra, J.P. Morgan Securities, Lawsuit, unauthorized trading

Anil Vazirani Scottsdale Investment Advisor shares Grandma wins $19M case against J.P. Morgan and 2 advisors (her grandsons) Michael Nagle/Bloomberg A wealthy grandmother won a $19 million arbitration award against J.P. Morgan Securities and two former brokers — her grandsons — over alleged unauthorized trading in her accounts. The ruling came 18 months and 43…

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Anil Vazirani Scottsdale Investment Advisor shares Transamerica sold variable annuity exchanges with inaccuracies: FINRA

December 30, 2020Financial Advisor Scottsdale AzRetirement Planning ScottsdaleFinra, Transamerica, variable annuity exchanges

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…

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Anil Vazirani Scottsdale Investment Advisor shares UBS Clients were Burned by Yield Enhancement Strategy

December 30, 2019Financial Advisor Scottsdale AzRetirement Planning ScottsdaleAnil Vazirani, Finra, UBS Clients

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…

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Anil Vazirani - Cover of Senior Market Advisor Magazine

Anil Vazirani - Cover of Senior Market Advisor Magazine

Anil Vazirani - Financial Advisor
Retirement Planning Scottsdale

Retirement Planning Scottsdale

Anil Vazirani

Anil Vazirani

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Anil Vazirani Annuities Retirement Financial Advisor

Anil Vazirani Annuities Retirement Financial Advisor

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