Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Walesa (Walesa), previously associated with Arkadios Capital, has at least 10 disclosable events. These events include 10 customer complaints, alleging that Walesa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 14, 2024.
Unsuitable recommendations, Claimant is 49 years old and works as a farmer. At the instruction of Respondent’s representatives, he invested a significant portion of his life savings in their fraudulent companies.
