https://retirementplanningscottsdale.com/2019/11/13/anil-vazirani-scottsdale-investment-advisor-shares-billionaire-ken-fisher-draws-scrutiny-from-federal-regulators/ Anil Vazirani Scottsdale Investment Advisor shares Billionaire Ken Fisher became a huge player in a controversial area of Wall Street: exchange-traded notes. ETNs are debt instruments issued by banks that can enable investors to make leveraged bets on investments including stocks, bonds and commodities. ETN’s risks and high costs have drawn scrutiny from federal…
Anil Vazirani, Scottsdale Investment Advisor, shares Raymond James agreed to pay $15+ million to settle SEC allegations it collected excess commissions
https://retirementplanningscottsdale.com/2019/11/11/anil-vazirani-scottsdale-investment-advisor-shares-raymond-james-agreed-to-pay-15-million-to-settle-sec-allegations-it-collected-excess-commissions/ Anil Vazirani, Scottsdale Investment Advisor, shares Raymond James agreed to pay $15+ million to settle SEC allegations it collected excess commissions Raymond James agreed to pay more than $15 million to settle SEC allegations it collected excess commissions and failed to conduct adequate suitability reviews. It’s the firm’s third major settlement of the year…