Finra files complaint against broker for trying to inherit $1.8M from client with Alzheimer’s
John Waszolek allegedly took advantage of the client's lack of capacity to be named beneficiary of her estate, Finra said.
The Financial Industry Regulatory Authority Inc. has filed a complaint against a broker who allegedly took advantage of a client with Alzheimer's disease in attempt to inherit nearly $2 million.
The regulator said that in 2009 John Waszolek, who was at UBS Wealth Management at the time, “took
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