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.
Why Osaic’s Triad Arbitration Win Matters Beyond The $34M Claim
Triad Advisors, now tied to Osaic, won a major FINRA arbitration tied to ex-broker Jim Walesa and private investments.