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FINRA sues broker at center of investor complaints, cites failure to testify

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Photo: Aaron M. Sprecher/Getty Images
Julie DiMauro profile image

Julie DiMauro

2 min read

Registered rep failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-the record testimony.

A former registered representative who has been at the center of investor complaints seeking damages was sued by FINRA earlier this month.

The advisor, James Walesa, was registered at Triad Advisors from 2000 to 2019 and then at Arkadios Capital (both of them are dually registered broker-dealer/investment adviser

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