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A New York jury Thursday convicted a financial adviser and his partner, a former race car driver, in a multimillion dollar fraud that victimized several current and former professional hockey players. Phillip A. Kenner, the adviser, and Tommy C. Constantine, his associate, both of Scottsdale, Ariz., were found guilty on counts of wire fraud, wire fraud conspiracy and money laundering conspiracy. Comment?
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 unfair advantage" of an 81-year-old client, identified only by the initials JL, by having her assign him the role of beneficiary for her trust - even though he knew she "lacked testamentary capacity" and was "completely unable to protect herself from exploitation." Comment?
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