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. 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.

In the News

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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

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, "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
Moderator, "Electronic Market Access," FINRA Annual Conference, Washington, D.C., May 2012
Panelist, "Dialogue with Area Regulators," National Association of Compliance Professionals, New England Regional Membership Meeting, Boston, MA, March 2010