James Thaddeus Walesa

(CRD #1061209, Park Ridge, Illinois)

January 20, 2026 – An Order Accepting Offer of Settlement was issued in which James Thaddeus Walesa was barred from association with any FINRA member in all capacities. Without admitting or denying the allegations, Walesa consented to the sanction and to the entry of findings that he failed to respond to two FINRA requests to provide information and documents, and two requests to appear for on the-record testimony. The findings stated that FINRA began examining the circumstances surrounding a Statement of Claim, including whether Walesa committed sales practice violations and participated in undisclosed private securities transactions while he was registered with his member firm. The information and documents requested were material and necessary to FINRA’s investigation into the circumstances surrounding the Statement of Claim. Walesa’s failure to provide the requested information and documents impeded FINRA’s investigation into his conduct. Further, Walesa’s failure to provide on-the-record testimony impeded FINRA’s investigation into his conduct because FINRA was unable to obtain Walesa’s testimony regarding among other things, his activities with two companies, a company that sold senior care products among other things and a healthcare and wellness company; his activities with respect to other investments; and his recommendations, if any, to an elderly customer, her daughter, and other customers. To date, Walesa has not produced any documents or information or appear for testimony in response to the requests. (FINRA Case #2023080442901) If you have suffered losses as a result of James Thaddeus Walesa’s act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by James Thaddeus Walesa. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.