The Financial Industry Regulatory Authority Inc. (FINRA) filed a complaint against JOHN A. WASZOLEK (CRD# 800403) for allegedly taking advantage of one of his client's with Alzheimer's. Waszolek was a broker with UBS Wealth Management in 2009, when he allegdly took advantage of his client by attempting to inherit approximately $2 million from his client. […]

Kevin Luby (CRD #4568246, Port Orange, Florida) was assessed a deferred fine of $25,000 and suspended by FINRA for 10 months for allegedly failing to disclose to his member firms that he was engaged in outside business activities on an elderly firm client’s behalf. FINRA's findings stated that the client had named Luby as a […]