Jacqueline Willens – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Jacqueline Willens. If you suffered losses investing with Jacqueline Willens, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Jacqueline Willens (CRD# 1305503)
Disclosure Events
04/10/1997 Regulatory – Final
Initiated By MARYLAND DIVISION OF SECURITIES
Resolution: Stipulation and Consent
Sanction Details: JACQUELINE WILLENS ENTERED INTO A CONSENT ORDER WITH THE MARYLAND DIVISION OF SECURITIES IN WHICH SHE AGREED TO WITHDRAW HER REGISTRATION AS A BROKER-DEALER AGENT, REFRAIN FROM REAPPLYING FOR REGISTRATION AS AA BROKER-DEALER, BROKER-DEALER AGENT, INVESTMENT ADVISER, INVESTMENT ADVISER REPRESENTATIVE, AND COMPLY WITH THE MARYLAND SECURITIES ACT IN ANY FUTURE ACTIVITIES IN MARYLAND.
Broker Comment:
I HAD ABSOLUTELY NO KNOWLEDGE OF OR INVOLVEMENT WITH THE ACTIVITIES OF GOLDIE`S COIN AND STAMP WHICH LED TO THE INVESTIGATION BY THE MSD AND IT ITS ORDERS AGAINST GOLDIE`S AND GOLDIE`S PRINCIPALS. I CHOSE TO WITHDRAW MY REGISTRATION IN MARYLAND RATHER THAN TO INCUR THE EXPENSE AND INCONVENIENCE OF ENGAGING IN AN ADMINISTRATIVE PROCEEDING WITH THE MSD. HOWEVER, I EMPHATICALLY DENY HAVING COMMITTED ANY WRONGDOING OR HAVING HAD ANY KNOWLEDGE OF THE ALLEGEDLY WRONGFUL CONDUCT OF GOLDIE`S.
05/20/1996 Customer Dispute – Settled
Current and Previous Registrations
05/1989 – PRESENT UBS FINANCIAL SERVICES INC. (CRD# 8174) – NEW YORK, NY
12/1984 – 06/1989 DREXEL BURNHAM LAMBERT INCORPORATED (CRD# 7323)
10/1984 – 01/1985 NORBAY SECURITIES INC. (CRD# 5431)
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Jacqueline Willens and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
