Monthly Archives: October 2015

Raymond James Broker Allegedly Attempts to Swindle $1.8 million from Client’s Estate

By Tom Costello of Costello Law Group posted in Securities on Tuesday, October 6, 2015. FINRA has filed a complaint against a former UBS and Morgan Stanley financial advisor named John Waszolek. The basis of the complaint is FINRA’s belief that Waszolek took advantage of an elderly client, with an Alzheimer’s diagnosis, by having the client […]

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New Bill Could Increase SEC’s Statute of Limitations from 5 to 10 years

By Tom Costello of Costello Law Group Senator Jack Reed, D-R.I., has introduced a new bill in response to the Supreme Court’s decision in Gabelli v. SEC. The bill proposes that the statute of limitations applicable to Securities and Exchange Commission (SEC) enforcement actions be lengthened from five years to ten years. In Gabelli v. […]

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