Jennifer Willey

Jennifer Willey, ESQ

Lead Attorney, Regulatory Defense and Arbitration

Jennifer is our Lead Attorney overseeing our regulatory and defense matters as well as serving as General Counsel for many of our B/D, RIA and IAR clients.

Jennifer comes to My RIA Lawyer from a large law firm in Oklahoma City with 13 years of legal experience spanning securities litigation, enforcement and compliance. She has defending or settled more than 110 cases across 32 states in addition to defending dozens of clients in FINRA inquiries, SEC Examinations & investigations and State regulatory registrations, inquiries and examinations.

As lead attorney, Jennifer provides her extensive experience to My RIA Clients by defending arbitration cases resulting from customer complaints and employment disputes, defending firms and advisors in regulatory examinations and inquires, Defending advisors / IAR’s in investigations conducted by professional organizations, representing advisors in pursuing expungement of customer complaints, and conducting internal audits / investigations for national broker-dealers, independent broker-dealers, financial advisors, and RIA’s / IAR’s in FINRA, AAA, state courts, federal courts, and various regulatory bodies, including state securities departments and the SEC.

In addition, Jennifer provides general counsel services to our clients, including draft client agreements, drafting employment contracts and assisting clients with properly structuring their RIA, insurance, and other business entities.

Jennifer is a graduate of Oklahoma City University School of Law and admitted to practice in Oklahoma, Texas, Ohio, and various federal courts. She is also a FINRA arbitrator.

Outside of work, Jennifer enjoys spending time with her husband, two boys, and two dogs (German Shorthaired Pointers), watching sports and movies, and working out.

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