DID JAMES THADDEUS WALESA CAUSE YOU INVESTMENT LOSSES?
James Walesa Formerly With Arkadios Capital Has 12 Customer Complaints For Alleged Broker Misconduct
About James Walesa formerly with Arkadios Capital?
James Walesa (CRD #1061209) has a significant background in the financial services industry, though he is not currently registered. His career spans multiple firms, with the most recent registrations at Arkadios Capital and Triad Advisors LLC, indicating his extensive involvement in various capacities within the sector. Walesa has passed an impressive nine industry exams, including the General Securities Representative (Series 7) and the Uniform Investment Adviser Law Examination (Series 65), showcasing his broad knowledge base in securities and investment advisory services. Over the years, he has been registered in multiple states, reflecting a wide-reaching influence in the financial landscape.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James Walesa Customer Complaints and Reviews
James T. Walesa has been involved in several disclosure events, including:
- Customer Disputes (12 reported): These involve various allegations such as unsuitable investment recommendations and negligence. Six of these disputes have been settled, with significant settlement amounts, and six are currently pending resolution.
- Financial Disclosures (1 reported): Includes a bankruptcy filed in recent years, indicating financial distress.
- Judgment/Lien (1 reported): Involves a substantial civil judgment related to a landlord/tenant dispute over a commercial lease, which Walesa has appealed.
Allegations Against James Walesa
- Unsuitable Investment Recommendations: Recurring allegations across multiple disputes where Walesa is accused of recommending investment products that were not suited to the financial situations or risk profiles of his clients.
- Negligence: In several cases, Walesa is accused of failing to perform due diligence and appropriately manage client investments, leading to financial losses.
- Breach of Fiduciary Duty: Linked to claims where Walesa allegedly did not act in the best interests of his clients, potentially prioritizing personal or business interests over those of his clients.
James Walesa Red Flags & Your Rights As An Investor
Of course, James Walesa did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Walesa at Arkadios Capital on alert to review carefully the activity and performance of their accounts and question whether James Walesa has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Arkadios Capital Due To James Walesa
If you have questions about Arkadios Capital and/or James Walesa and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
Rate this Post
Loading...