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. […]

The Financial Industry Regulatory Authority Inc., also known as FINRA, barred John Thornes, president of Thornes & Associates Inc. of Redlands, Calif., and suspended his broker-dealer firm over allegations that he stole $4.2 million from two clients, one of whom FINRA says suffers from Alzheimer's disease writes Dan Jamieson of Investment News. FINRA alleges that […]

In a February 4th., 2012, article by Andew Osterland in InvestmentNews.com, he writes that it's not an easy conversation to have, but financial advisers need to talk to their clients about Alzheimer's disease and other forms of dementia and the impact it can have on their financial circumstances. “The first conversation is difficult, but after […]