Anil Vazirani Accused of Selling GWG Renewable Secured Debentures Without Registering with FINRA
Anil Vazirani, formerly associated with Center Street Securities, Inc., was fined and suspended by the Financial Industry Regulatory Authority (“FINRA”) relating to allegations that he was not registered with FINRA as required by regulatory rules.
Vazirani, from May 2012 through December 2012, solicited the sales of more than $500,000 of GWG Renewable Secured Debentures to seven customers without being registered with FINRA as required by regulatory rules, according to FINRA.
Vazirani was fined $5,000 and suspended for 30 days from the securities industry by FINRA without admitting or denying FINRA’s findings.
Investors who believe they lost money as a result of investment fraud or misconduct may contact the securities lawyers at Peiffer Rosca, Jason Kane or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at (585) 310-5140.
Broker: Anil Vazirani
Status: INVESTIGATED by Peiffer Rosca.
For brokercheck report and additional info click here!