Anil Vazirani Scottsdale Investment Advisor shares SEC Charges Unregistered Brokers Who Sold Equialt Securities to Retail Investors Litigation Release No. 25059 / March 23, 2021 Securities and Exchange Commission v. Jason P. Wootten, et al., Case No. 2:21-cv-00482-GMS (D. Ariz. filed March 22, 2021) The Securities and Exchange Commission today announced charges against Jason P….
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 DLA Piper, Fox Rothschild Sued Over Alleged Ponzi Ties
Anil Vazirani Scottsdale Investment Advisor shares DLA Piper, Fox Rothschild Sued Over Alleged Ponzi Ties Investors in a Florida real estate company, which the SEC accused of operating as a $170 million Ponzi scheme, have filed suit against a DLA Piper attorney, his firm and his previous firm, Fox Rothschild LLP, over his role in…
Anil Vazirani Scottsdale Investment Advisor shares UBS Settles with SEC for $10 Million Over Municipal Bond ‘Flipping’
Anil Vazirani Scottsdale Investment Advisor shares UBS Settles with SEC for $10 Million Over Municipal Bond ‘Flipping’ UBS has agreed to pay more than $10 million following SEC charges the firm violated municipal bond securities rules. UBS has agreed to pay more than $10 million following SEC charges the firm violated municipal bond securities rules. The…
Anil Vazirani, Scottsdale Investment Advisor, shares Billionaire Ken Fisher draws scrutiny from Federal regulators
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…
Anthony Laurita letter to AZ Attorney General, AZ Reps, AZ Governor Doug Ducey, AZ Senator, AZ Corporation Comm, AZ Dept of Ins., SEC, FINRA re: Nationwide New Heights Index Annuity
https://retirementplanningscottsdale.com/2018/08/27/anthony-laurita-letter-to-az-attorney-general-az-reps-az-governor-doug-ducey-az-senator-az-corporation-comm-az-dept-of-ins-sec-finra-re-nationwide-new-heights-index-annuity/ Anthony Laurita letter to AZ Attorney General, AZ Reps, AZ Governor Doug Ducey, AZ Senator, AZ Corporation Comm, AZ Dept of Ins., SEC, FINRA re: Nationwide New Heights Index Annuity >> Anil Vazirani Integrity and Professional Background – Click Here Letter from SEC Whistleblower Program – Click here See AZ Republic Article- Click here…
Anil Vazirani letter to SEC re: Nationwide NYSE Zebra Edge Annuity Sales
https://retirementplanningscottsdale.com/2018/08/27/anil-vazirani-letter-to-sec-re-nationwide-nyse-zebra-edge-annuity-sales/ Anil Vazirani letter to SEC re: Nationwide NYSE Zebra Edge Annuity Sales >> Letter from SEC Whistleblower Program – Click here Anil Vazirani Integrity and Professional Background – Click Here