Emily P. Gordy, who managed enforcement operations at the Financial Industry Regulatory
Authority and served as chief regulatory counsel for the nation’s largest
independent broker-dealer, has joined McGuireWoods’ commercial litigation
practice as a partner in Washington, D.C.
Gordy counsels broker-dealer and investment adviser clients, drawing on her
nearly three decades of experience in securities regulation. She joins a
cross-practice team of former government insiders, senior in-house counsel
and seasoned litigators assisting broker-dealers and investment advisers in
regulatory compliance, investigations and litigation.
Gordy held senior executive roles during her 14-year career in FINRA’s
enforcement and examination departments, where she led efforts to resolve
investigations and disciplinary actions; managed a 75-member regional team
that handled more than 700 disciplinary matters annually; and provided
counsel on policy issues, including anti-money laundering, supervision,
suitability and other sales practice issues. She also led the enforcement
integration team responsible for consolidating the regulatory enforcement
functions of the National Association of Securities Dealers (NASD) and the
New York Stock Exchange in 2007.
Gordy previously held management positions at NASD and served as deputy
chief counsel in the Securities and Exchange Commission’s Enforcement
Division. She comes to McGuireWoods from LPL Financial, where she served as
chief regulatory counsel and executive vice president since 2015. The National Law Journal selected her as a Regulatory &
Compliance Trailblazer in 2015.
“Emily’s command of the regulatory requirements confronting broker-dealers
and investment advisers, her firsthand knowledge of how regulators think,
combined with her complete understanding of the pressures and needs of our
clients make her a tremendous asset to our firm,” said
Cheryl Haas, chair of McGuireWoods’ Complex Commercial Litigation Department.
“Emily brings an insider’s perspective on securities regulation and
enforcement that adds enormous value for our clients,” added
Todd Mullins, managing partner of the firm’s Washington office.
McGuireWoods has a deep bench of former regulators advising financial
industry clients. Gordy’s arrival follows the additions earlier this year
of New York partner
Daniel A. Goldfried, a former SEC senior counsel; and partner
Alexandra Villarreal O’Rourke, former senior counsel at the Consumer Financial Protection Bureau, who is
based in Charlotte, North Carolina. New York partner
Ghillaine Reid, a former SEC branch chief and co-head of McGuireWoods’ broker-dealer
team, joined the firm in 2016.
“McGuireWoods has an elite team of former regulators and accomplished
litigators guiding securities industry clients through complex and evolving
regulatory issues,” Gordy said. “I am excited for the opportunity to
collaborate with this outstanding team and put my experience to work for