Jackie Wells Former FINA Director Joins McGuirewoods Securities Enforcement Team

McGuireWoods continues the expansion of its nationally recognized Securities Enforcement and Regulatory Counseling Practice with the arrival of counsel Jackie Wells, who joins the firm after serving as a director in the Enforcement Department of the Financial Industry Regulatory Authority (FINRA).

Wells counsels companies and individuals in the financial services sector, including broker-dealers and investment advisers, in securities regulatory compliance and enforcement matters. She has represented clients in inquiries involving FINRA, the U.S. Securities and Exchange Commission (SEC), and other federal and state regulators.

During her eight-year tenure at FINRA, Wells focused on matters involving market regulation and sales practice issues, such as trade reporting, order execution, anti-money laundering programs and supervision, among others. Before joining FINRA, she practiced at an international law firm, where she concentrated on securities enforcement matters and complex commercial litigation.

“Jackie’s skill and insight enhance our market-leading capabilities in securities enforcement defense and regulatory counseling,” said Noreen Kelly, McGuireWoods’ deputy managing partner for litigation.

Wells’ arrival follows the recent additions of New York partner Todd Beaton, a former chief counsel in FINRA’s Enforcement Department, and counsel Andrew Mannarino, who has decades of securities industry experience.

“Jackie’s experience managing investigations and her understanding of how regulators think will have enormous benefits for our team and our clients,” said Elizabeth Hogan, co-chair of McGuireWoods’ Securities Enforcement and Regulatory Counseling Practice.

Anchored by former SEC and FINRA attorneys, as well as former federal prosecutors, McGuireWoods manages securities investigations at every stage — from informal inquiries and routine exams through investigations, litigation and appeals — while staying at the forefront of developing issues confronting the industry.

“McGuireWoods is a national leader in providing innovative and business-focused counsel on regulatory and enforcement matters and I am excited to be part of this outstanding team,” Wells said.

Said Jeffrey Chapman, managing partner of the firm’s New York office, “Jackie is a wonderful addition to our expanding bench in New York and we are delighted to welcome her.”