Emily P. Gordy

Partner

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Practices
Industries
Education
  • American University Washington College of Law, JD, cum laude
  • Gettysburg College, BA, magna cum laude
Admissions
  • Maryland
  • District of Columbia

Emily counsels broker-dealer and investment advisor clients, and is a member of the firm’s commercial litigation practice team. Through her wide-ranging regulatory experience, Emily has developed extensive contacts in the securities regulatory community, including regulators (state, federal, and SRO), in-house, and the defense bar.

Drawing from her wealth of experience at all levels of securities regulation, she handles a wide range of compliance and enforcement issues affecting broker-dealers, investment advisors, investment companies, and public companies. Emily has extensive anti-money laundering (AML) experience, as well as substantial knowledge in other regulatory areas, including supervision, suitability, disclosure, books and records, membership application, and statutory disqualification. Emily is also well-versed in examination and enforcement practices and policies of the financial services regulators.

Prior to joining McGuireWoods, Emily served as Deputy General Counsel, Executive Vice President for one of the largest retail investment advisory firm and independent broker/dealers. She also worked as a Financial Industry Regulator, having served as a Senior Vice President with responsibilities for various functions within the Enforcement Division of Financial Industry Regulatory Authority, Inc. (FINRA). Additionally, she was Policy Director in the Member Regulation Department of the National Association of Securities Dealers, as well as Deputy Chief Counsel of the Division of Enforcement at the Securities and Exchange Commission.

While at FINRA, Emily provided guidance on privacy regulatory obligations and enforcement cases involving data breaches. As in-house counsel, she provided counsel on the firm’s data privacy and security efforts, advising on compliance measures, incident response, regulatory examination, and notification of regulators in the event of a breach.

Emily is a member of the firm’s LGBT Affinity Group.

In the News

gordy-emily
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T: +1 202 857 2449F: +1 202 828 33052001 K Street N.W.
Suite 400
Washington, DC 20006-1040

Honoree, National Law Journal’s Regulatory & Compliance Trailblazer, 2015

NASD/NYSE Integration Team Award, Financial Industry Regulatory Authority, 2007

Award for Collaboration and Shared Commitment -- First Recipient of the Susan Lewis Award, National Association of Securities Dealers, 2005

President’s Award (AML), National Association of Securities Dealers, 2002

Supervisory Excellence Award, Securities Exchange Commission, 1994

Author, "10 Highlights From FINRA’s 2018 Priorities Letter," Law360, February 6, 2018
Quoted, "How To Dodge The Dangers Of Unregistered Securities," Law360, April 16, 2015
Author, "Recent Lessons in Anti-Money Laundering Compliance," Law360, February 25, 2015
Quoted, "FINRA To Raise Heat On Firms In Broker Disclosure Push," Law360, January 15, 2015
Panelist, "Communications with the Public/Social Media," UNC School of Law Financial Services Compliance Boot Camp, June 2018
Speaker, "Fiduciary Investment Advice: Litigation and Enforcement Perspectives," Fiduciary Investment Advice 2018, Practising Law Institute, New York, NY, May 2018
Panelist, "Lessons Learned from Recent AML Enforcement Actions," FINRA Annual Conference, Washington, D.C., May 2017
Panelist, "Privilege and Work Product Protections: Ethical Considerations for In-House Teams," SIFMA Compliance & Legal Society, Annual Conference, San Diego, California, March 2017
Panelist, "The Sales Practice Examination Process (Medium and Large Firm Focus)," FINRA Annual Conference, Washington, D.C., May 2016
Moderator, "Navigating Senior Management through the Litigation and Enforcement Process," SIFMA Compliance & Legal Society, Annual Conference, Orlando, Florida, March 2016
Panelist, "Anti-Money Laundering," FINRA Woodbridge District Office, Member Compliance Event, Tarrytown, NY, June 2015
Panelist, "Key Trends in AML – Global Movements & Domestic Developments," The Canadian Institute, Toronto, Canada, April 2015
Panelist, "Municipal Securities Issues," National Association of Compliance Professionals, Regional Conference, St, Louis, MO, April 2015
Panelist, "FINRA Dispute Resolution Activities," PLI, New York, NY, July 2014
Panelist, "Enforcement Developments," FINRA Annual Conference, Washington, D.C., May 2014
Panelist, "Enforcement Developments," FINRA Annual Conference, Washington, D.C., May 2014
Panelist, "SEC and FINRA Investigations Regarding Hedge Funds, Asset Managers, Broker-Dealers, and Other Institutional Investment Entities," Securities Enforcement Forum 2013, Washington, D.C., October 2013
Panelist, "Suitability – Small Firm Perspective," FINRA Annual Conference, Washington, D.C., May 2013
Panelist, "Who is Your Customer? Implementing Best Practices on Know Your Customer and Anti-Money Laundering, Fraud Detection, Surveillance, and Enforcement in On-Line Trading Space," Thomsen Reuters – On-Line Financial Services Symposium, New York, NY, March 2013
Panelist, "Enforcement Focus on Attorneys and Compliance Professionals," SIFMA, Charlotte Regional Seminar, Charlotte, NC, September 2012
Moderator, "Electronic Market Access," FINRA Annual Conference, Washington, D.C., May 2012
Panelist, "Outside Business Activities," FINRA Annual Conference, Washington, D.C., May 2012
Moderator, "OFAC Compliance for FINRA Firms," FINRA Webinar, Washington, D.C., August 2010
Panelist, "Dialogue with Area Regulators," National Association of Compliance Professionals, New England Regional Membership Meeting, Boston, MA, March 2010