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 SEC charges ex-Wells Fargo execs with misleading investors
Anil Vazirani Scottsdale Investment Advisor shares SEC charges ex-Wells Fargo execs with misleading investors The Securities and Exchange Commission on Friday accused two former top Wells Fargo executives of misleading investors about a sales metric that was exposed as unreliable after bank employees were found to have opened fake accounts for customers in order to…
Anil Vazirani Scottsdale Investment Advisor shares AIG settles lawsuit for more than $400 million
Anil Vazirani Scottsdale Investment Advisor shares AIG settles lawsuit for more than $400 million American International Group (AIG) has settled a tax shelter lawsuit, related to seven cross-border transactions made during the mid-1990s – transactions designed to generate bogus foreign tax credits, a US attorney said. According to the acting US attorney for the Southern…
Anil Vazirani Scottsdale Investment Advisor shares Fidelity unit settles SEC case over prospectuses for $2.5M
Anil Vazirani Scottsdale Investment Advisor shares Fidelity unit settles SEC case over prospectuses for $2.5M Fidelity’s National Financial Services agreed to its largest regulatory payout in at least 13 years to settle an SEC case involving delivery of prospectuses. The Fidelity Investments subsidiary underwrote the public sale of more than 70 million shares of stock…
Revisiting Anil Vazirani Scottsdale Investment Advisor shares Security Benefit – Class Action Complaint
Revisiting Anil Vazirani Scottsdale Investment Advisor shares Security Benefit – Class Action Complaint UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA WESTERN DIVISION HOWARD ROSEN, a California resident, TERRI L. STAUFFER-SCHMIDT, an Arizona resident, MICHAEL A. WEBBER, an Illinois resident, individually and on behalf of themselves and others similarly situated, Plaintiffs, vs. SECURITY BENEFIT LIFE…
Revisiting Anil Vazirani Scottsdale Investment Advisor shares Advisor Questions Some High Annuity Return Projections
Revisiting Anil Vazirani Scottsdale Investment Advisor shares Advisor Questions Some High Annuity Return Projections Annuities with high, stock-market-linked returns should be registered as securities, Anil Vazirani says. Anil Vazirani, president of Secured Financial Solutions (Photo: Vazirani) Anil Vazirani, a financial advisor who regularly sells indexed annuities, says some life insurers should be more conservative when…