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 change her estate planning documents to include him as a beneficiary or recipient of $1.8 million. According to FINRA’s complaint, Waszolek later admitted that his elderly client was not competent to change her estate planning documents.

To read more, click Here