James Walesa Disclosed His Outside Business. FINRA Still Saw A Bigger Question.
FINRA’s James Walesa case shows how outside businesses, private investments, client complaints and broker-dealer supervision can collide.
James Walesa Was Barred. The Bigger Story Is What FINRA Could Not Examine.
FINRA barred ex-Arkadios and Triad broker James Walesa after he failed to cooperate with an investigation into private investments.