Lecturer Bios
Evan Charkes Esq.
Evan Charkes is Managing Director and Associate General Counsel for Bank of America, and supports the US Merrill Lynch Wealth Management business, including as chief counsel to the firm’s Private Wealth Management advisors. Mr. Charkes has spent a significant portion of his career supporting wealth management businesses, including at Citi, where he was a Managing Director and Deputy General Counsel for its Global Wealth Management business. Mr. Charkes started his career as a litigation associate in private practice in New York City. With respect to participating in industry organizations, Mr. Charkes is a member of FINRA’s National Adjudicatory Council and is a former member of the FINRA Compliance Advisory Committee and FINRA International Committee.
Mr. Charkes also formerly served as the co-chair of the SIFMA Compliance and Regulatory Policy Committee and SIFMA Self-Regulation and Supervisory Practices Committee and has been a frequent speaker at the SIFMA Compliance & Legal Society annual seminar. Mr. Charkes also chaired the Insured Retirement Institute’s Securities Committee and has contributed numerous articles to the New York Law Journal and Wall Street Lawyer regarding securities law. Mr. Charkes is a member of the Board of Directors of the Pro Bono Partnership, a non-profit organization that provides legal services to nonprofit organizations in Connecticut, New Jersey, and New York.
Mr. Charkes is a graduate of Georgetown University Law Center and Columbia College.
Jennifer Szaro
Jennifer Szaro is Chief Compliance Officer for XML Securities, LLC a fully disclosed
introducing broker/dealer and its affiliated investment advisory firm, XML Financial
Group. Ms. Szaro is responsible for managing both firms' compliance
infrastructures. Ms. Szaro joined the securities industry in 2000. She previously
worked in the technology sector where she had experience in ecommerce, website
hosting and product development. As the securities industry went through significant
changes with higher regulatory demands, she took on more compliance and
marketing related roles.
In 2011, she became a senior level executive and Chief
Compliance Officer of the broker dealer, then dually registered. In addition to her
current role as CCO, she is the AMLCO, and alternative FINOP. In 2012, she completed FINRA’s Certified
Regulatory and Compliance Professional Program (CRCP)®
. In 2018, she became a non-public FINRA
Dispute Resolution Arbitrator, having qualified through the National Arbitration and Mediation Committee.
In
2019, she was appointed to serve out a two-year term on the FINRA’s Small Firm Advisory Committee
(SFAC), serving as the 2020 Chair. She was re-appointed to serve a three-year term through 2023. Ms.
Szaro holds the following FINRA registrations; Compliance Officer (CR), Introducing Broker-Dealer Financial
and Operations Principal (FI), General Securities Principal (GP), General Securities Representative (GS),
Investment Company and Variable Contracts Products Representative (IR), Municipal Securities Principal
(MP), Municipal Securities Representative (MR), and Operations Professional (OS). Ms. Szaro is a graduate
from the University of Rhode Island with a Bachelor of Science
John B. Wells, Esq.
Attorney John B. Wells is a retired Navy Commander (Surface Warfare) who served from 1972 until 1994. He served on six ships and several shore commands. He is qualified in all aspects of surface warfare including command at sea. He is a graduate of the Surface Warfare Officers School Department Head and PXO schools. Mr. Wells served as a Special-Court Martial convening authority, member, senior member and witness before administrative boards and court-materials. He has administered non-judicial punishment under Art. 15 of the UCMJ.
Mr. Wells attended law school at night while still on active duty. He was a member of the Law Review Staff and contributed to several law school publications. Upon retirement from the military, Mr. Wells settled in Slidell Louisiana and opened a general law practice that included appellate, criminal, civil, juvenile and military law. He represented both juveniles and adults in various criminal courts. Additionally, he represented and defended small and medium sized corporations in the courts of Louisiana and various federal courts. He has also acted as counsel for a successful charter school Mr. Wells has represented military members, civilians and juveniles in both civil and criminal matters and provides free legal counseling to veterans. He is at home in both state and federal courts and travels often to Washington, D.C. for cases there.
Although the practice is based in Slidell Louisiana, located near the military complexes at New Orleans, Gulfport and Biloxi, Mr. Wells will travel throughout the nation. He routinely handles cases in the Washington, D. C. area. Additionally he has represented clients in federal courts and court-martials throughout the United States. As well as military law, Mr. Wells concentrates on civilian criminal law, employment law, federal administrative law, civil rights law, tort law, construction law and contract law. His firm also prepares wills and trusts for individuals and prepares and files corporation documents for small business and non-profit corporations.
Mr. Wells was admitted to practice before the Supreme Court of Pennsylvania in November of 1994, the Supreme Court of Louisiana in October of 1995 and the Court of Appeals for the District of Columbia in April of 1996. His is also admitted to practice before the Supreme Court of the United States.
In addition, Mr. Wells is admitted to the following courts: United States Court of Appeals for the Fifth Circuit; United States Court of Appeals for the Federal Circuit; United States Court of Appeals for the Armed Forces; United States Navy-Marine Corps Court of Criminal Appeals; United States Army Court of Criminal Appeals; United States Air Force Court of Criminal Appeals; United States Court of Appeals for Veteran's Claims; United States Court of Federal Claims; United States District Court for the Western District of Pennsylvania; United States District Court for the Western District of Louisiana; United States District Court for the Eastern District of Louisiana; United States District Court for the District of Columbia; United States District Court for the Northern District of Texas; United States District Court for the Southern District of Texas.
Carla Carloni
Carla Carloni is FINRA’s Deputy Chief Hearing Office and Vice President. Before joining the Office of Hearing Officers in 2014, Carla Carloni served for more than 20 years as legal counsel to FINRA’s National Adjudicatory Council (“NAC”). She advised the NAC in adjudicated matters, including appeals of Hearing Panel decisions, statutory disqualification determinations, membership cases, and exemption requests.
Ms. Carloni also represented FINRA as legal counsel before the SEC and in other appeals. Before joining FINRA, she began her legal career as a law firm associate practicing civil litigation. She attended law school at the College of William and Mary in Virginia and holds a B.A. from Fairfield University in Connecticut. She is admitted to practice law in Virginia.
Ted Luecke
Ted Luecke is an Examination Manager in FINRA’s Retail firm grouping and previously worked in FINRA’s Diversified, Carrying & Clearing firm grouping. In his current capacity, he has responsibility for supervising examinations of member firms who primarily service retail customers.
During his 12-year tenure at FINRA, Mr. Luecke has spent time in FINRA’s Kansas City and Denver District Offices. Mr. Luecke graduated from the University of Missouri with an emphasis in Finance and Banking with Real Estate.
Mike Manly
Mike Manly is a Chief Counsel in FINRA’s Department of Enforcement. In this role, Mr. Manly manages a team of attorneys who initiate and prosecute FINRA disciplinary matters. He also consults with Member Supervision personnel and Enforcement Investigators regarding ongoing examinations and investigations. Mr. Manly was previously a Director and a Senior Counsel at FINRA.
Prior to joining FINRA in 2013, he was a partner at Neal, Gerber & Eisenberg LLP in Chicago, where he represented broker/dealers in customer disputes brought in federal and state courts, as well as various arbitration forums, including FINRA Dispute Resolution. Mr. Manly also was a general litigation associate at Jones Day, where he handled litigation involving antitrust, securities, and bankruptcy matters.
Mr. Manly graduated from the University of Nebraska College of Law with high distinction and earned his undergraduate degree, with distinction, from the University of Nebraska-Lincoln.
James S. Wrona, Esq.
James S. Wrona is Vice President and Associate General Counsel for FINRA in Washington, DC. In this role, he is responsible for various policy initiatives, rule changes and litigation regarding the securities industry. Mr. Wrona formerly was associated with the law firm of K&L Gates LLP, where his practice focused on complex federal litigation. He also previously served as a federal law clerk for the Honorable A. Andrew Hauk of the United States District Court for the Central District of California (Los Angeles).
Mr. Wrona is a frequent speaker at securities and litigation conferences and author of numerous law review articles, including The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection, 68 Bus. Law. 1 (Nov. 2012); The Securities Industry and the Internet: A Suitable Match 2001 Colum. Bus. L. Rev. 601 (2001).
Timothy Mountz
Timothy Mountz is Senior Vice President and Chief Litigation Counsel in FINRA’s Office of General Counsel. Before joining FINRA, he was a partner at Baker Botts LLP with a practice focused on securities and accountants’ liability litigation.
Mr. Mountz is a graduate of Southern Methodist University and Duke University School of Law, and is a member of the State Bar of Texas and the District of Columbia Bar. In 2005, he served as the 95th President of the Dallas Bar Association.
