The Department of Enforcement alleges: SUMMARY 1. Respondent James Thaddeus Walesa failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-therecord testimony, made pursuant to FINRA Rule 8210 as part of FINRA Staff’s examination into Walesa’s business practices, his voluntary termination from Arkadios Capital, and allegations made against Walesa in [Customer B & Customer Family Trust] v. Arkadios Capital & James Thaddeus Walesa, FINRA 23-03184, (Nov. 1, 2023) (the “Statement of Claim”).

Between December 2019 and July 2024, Joseph willfully failed to disclose a consent order issued by the Maryland Securities Commissioner of the Maryland Securities Division on several Uniform Applications for Securities Industry Registration or Transfer (Forms U4) filed with FINRA. As a result, he violated Article V, Section 2(c) of FINRA’s By-Laws and he violated FINRA Rules 1122 and 2010. For these violations, Joseph is fined $5,000 and suspended in all capacities for six months.

Rojas-Salvador refused to appear for on-the-record testimony requested by FINRA pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

Mogollan refused to appear for on-the-record testimony requested by FINRA pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.