James Thaddeus Walesa

08/08/2025: The Department of Enforcement alleges: SUMMARY 1. Respondent James Thaddeus Walesa failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-therecord testimony, made pursuant to FINRA Rule 8210 as part of FINRA Staff’s examination into Walesa’s business practices, his voluntary termination from Arkadios Capital, and allegations made against Walesa in [Customer B & Customer Family Trust] v. Arkadios Capital & James Thaddeus Walesa, FINRA 23-03184, (Nov. 1, 2023) (the “Statement of Claim”). As a result, Walesa violated FINRA Rules 8210 and 2010.

01/20/2026: It has been determined that the Offer be accepted and that findings be made as follows: Respondent James Thaddeus Walesa failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-the-record testimony, made pursuant to FINRA Rule 8210 as part of FINRA Staff’s examination into Walesa’s business practices, his voluntary termination from Arkadios Capital, and allegations made against Walesa in [Customer B & Customer Family Trust] v. Arkadios Capital & James Thaddeus Walesa, FINRA 23-03184, (Nov. 1, 2023) (the “Statement of Claim”). As a result, Walesa violated FINRA Rules 8210 and 2010.

Reference 2023080442901data-portal.finra.orgdata-portal.finra.orgfinra.org