Law firm McGuireWoods has hired Jackie Wells, a former director in the enforcement department of the Financial Industry Regulatory Authority, as part of the continued expansion of its securities enforcement and regulatory counseling practice.
Wells, who joins the international law firm’s New York office as counsel, spent eight years at FINRA, the private corporation that acts as a self-regulatory organization for member brokerage firms and exchange markets. While there, she handled cases involving market regulation and sales practice violations, such as trade reporting, order execution, and anti-money laundering programs. Prior to FINRA, she was an associate at Sidley Austin, specializing in securities enforcement matters and commercial litigation.
“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.
McGuireWoods
As counsel at McGuireWoods, she will advise financial services clients, including broker-dealers and investment advisers, in securities regulatory compliance and enforcement matters.
Wells’ skill and insight will enhance the law firm’s securities enforcement defense and regulatory counseling capabilities, said Noreen Kelly, McGuireWoods’ deputy managing partner for litigation.
“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 Securities and Exchange Commission 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 abreast of developing issues confronting the industry, according to the firm.
Wells rejoins former FINRA colleague Todd Beaton, a McGuireWoods partner in New York, who was previously chief counsel in FINRA’s enforcement department. Beaton and Andrew Mannarino, who has decades of securities industry experience, joined the law firm in September.
“Jackie is a wonderful addition to our expanding bench in New York and we are delighted to welcome her,” said Jeffrey Chapman, managing partner of the firm’s New York office.