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Tag: SEC

Home Posts Tagged "SEC"

Anil Vazirani Scottsdale Investment Advisor shares SEC charges ex-Wells Fargo execs with misleading investors

November 17, 2020Financial Advisor Scottsdale AzRetirement Planning ScottsdaleAnil Vazirani, Fines, Lawsuit, SEC, Wells Fargo

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…

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Anil Vazirani Scottsdale Investment Advisor shares DLA Piper, Fox Rothschild Sued Over Alleged Ponzi Ties

July 29, 2020Financial Advisor Scottsdale AzRetirement Planning ScottsdaleAnil Vazirani, DLA Piper, Florida federal court, Fox Rothschild, SEC

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…

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Anil Vazirani Scottsdale Investment Advisor shares UBS Settles with SEC for $10 Million Over Municipal Bond ‘Flipping’

July 24, 2020Financial Advisor Scottsdale AzRetirement Planning ScottsdaleAnil Vazirani, RMR Asset Management, SEC, UBS

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…

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Anil Vazirani, Scottsdale Investment Advisor, shares Billionaire Ken Fisher draws scrutiny from Federal regulators

November 13, 2019Financial Advisor Scottsdale AzRetirement Planning ScottsdaleAnil Vazirani, Raymond James, SEC

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…

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Anil Vazirani, Scottsdale Investment Advisor, shares Raymond James agreed to pay $15+ million to settle SEC allegations it collected excess commissions

November 11, 2019Financial Advisor Scottsdale AzRetirement Planning ScottsdaleAnil Vazirani, Raymond James, SEC

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…

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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

August 27, 2018Financial Advisor Scottsdale AzRetirement Planning ScottsdaleAnthony Laurita, Nationwide New Heights Index Annuity, SEC

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…

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Anil Vazirani letter to SEC re: Nationwide NYSE Zebra Edge Annuity Sales

August 27, 2018Financial Advisor Scottsdale AzRetirement Planning ScottsdaleAnil Vazirani, Nationwide NYSE Zebra Edge Annuity Sales, SEC

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

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Anil Vazirani - Cover of Senior Market Advisor Magazine

Anil Vazirani - Cover of Senior Market Advisor Magazine

Anil Vazirani - Financial Advisor
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Retirement Planning Scottsdale

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Anil Vazirani Annuities Retirement Financial Advisor

Anil Vazirani Annuities Retirement Financial Advisor

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