In the Matter of James Thaddeus Walesa

James Thaddeus Walesa failed to respond to FINRA requests to provide information and documents, and to appear for on-the-record testimony. According to FINRA, FINRA began examining the circumstances surrounding a Statement of Claim, including whether Walesa committed sales practice violations and participated in undisclosed private securities transactions while he was registered with his member firm.

Summary generated from official Financial Industry Regulatory Authority press release