It has been determined that the Offer be accepted and that findings be made as follows: 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-the-record 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2022075185901 Department of Enforcement, Complainant, v. Boustead Securities, LLC CRD No. 141391, Sutter Securities, Incorporated CRD No. 30770, and Keith Charles Moore CRD No. 5191450 Respondents. COMPLAINT The Department of Enforcement alleges: SUMMARY 1.