| 15-01974 | 11/22/2016 | Claimant(s): Citizens Securities.
Claimant Lawyers(s): John K. Wells
Respondent(s): Michael Charest
Respondent Lawyers(s): Michael David Charest
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Manchester, NH
| | |
| 15-02676 | 06/06/2016 | Claimant(s): McDaniel Family Trust
Claimant Lawyers(s): Janice April McDaniel
Respondent(s): Barry Armstrong, Brendan Hayes, Securities America., Paul Parsons, Susan Powers
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Paul A. Auerbach
Hearing Site: Boston, MA
|  | Dismissed by Rule 12504 |
| 15-00644 | 04/13/2016 | Claimant(s): Alvin Hill
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Lee Hornberger, Gail Katherine Barski-McCracken, Lisa Sue Fildes
Hearing Site: Detroit, MI
| | |
| 13-00877 | 10/30/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John K. Wells
Respondent(s): Matthew MacMichael
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Jim Geiger, David Marcus, Gregory J. Spadea
Hearing Site: Philadelphia, PA
| | |
| 11-03407 | 02/21/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): John K. Wells
Respondent(s): Carlos Molina, Jorge Carreras
Respondent Lawyers(s): Jacob W. Buchdahl
Arbitrator(s): Annette B. Meyers, Sherri L. Hughes, Marianne C. Hussey
Hearing Site: New York, NY
| | |
| 12-02086 | 01/14/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): John K. Wells
Respondent(s): Gary Schwarcz
Respondent Lawyers(s): Gary Alan Schwarcz
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | |
| 10-01812 | 12/14/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Hemant Singh
Respondent Lawyers(s): Philip L. Guarino
Arbitrator(s): Henry Tiffany, Sandra Gale Behrle, Alfred H. Kingon
Hearing Site: New York, NY
| | |
| 10-04306 | 01/23/2012 | Claimant(s): Candace Roderick, Kayla Ann Roderick Trust, Olive M. Larwrence Trust
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Mary C. Kelleher, Christine Armstrong, James R. Collins
Hearing Site: Boston, MA
| | Expungement |
| 10-00803 | 01/06/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Dwight Hazelwood
Respondent Lawyers(s): Dwight Hazelwood
Arbitrator(s): Keith D. Patten, Paul Mann
Hearing Site: Little Rock, AR
| | |
| 09-05044 | 10/08/2010 | Claimant(s): Alan Biren, John Tucker
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Kelly M. Lonergan, Patrick W. McKeon, John J. Kenny
Hearing Site: Boston, MA
| | $1,085,600 |
