Jackie Wells

Jackie A. Wells Counsel

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Jackie Wells counsels financial institutions, broker-dealers, investment advisors and other public and private entities and executives in securities regulatory compliance and enforcement matters. She represents clients in inquiries involving the Financial Industry Regulatory Authority (FINRA), U.S. Securities and Exchange Commission (SEC), and other federal and state regulators.

Prior to joining McGuireWoods, Jackie was a Director at FINRA. She focused on matters involving market regulation and sales practice issues, including trade reporting, order execution, anti-money laundering programs, and Regulation Best Interest, among others.

Prior to her tenure at FINRA, Jackie was an associate with an international law firm where she focused on securities enforcement and complex commercial litigation.

Experience

  • Represented a broker-dealer in connection with a FINRA investigation relating to the sale of Unit Investment Trusts.*
  • Represented a retail broker-dealer and registered representatives in connection with a FINRA investigation relating to the sale of variable annuities.*
  • Represented a major financial institution in connection with FINRA, SEC, and NYAG investigations into the structuring, marketing, and sale of mortgage-backed securities.*
  • Represented a retail broker-dealer and related individuals in putative class actions alleging federal securities law and purported state law claims relating to order routing and execution.*

*Experience handled prior to joining McGuireWoods.