Emily P. Gordy Partner

Emily advises her clients as they navigate the complexities inherent in the securities regulatory environment. Drawing on her wealth of experience as a regulator, she handles a wide range of compliance and enforcement issues affecting broker-dealers, investment advisers, investment companies, and municipal securities dealers.

Emily has extensive anti-money laundering (AML) experience, as well as other regulatory areas, including supervision, suitability, disclosure, books and records, municipal securities and public finance, and statutory disqualification. Emily is also well-versed in the 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 in a variety of senior management positions within Enforcement and Member Regulation, Financial Industry Regulatory Authority, Inc. (FINRA), including serving as Deputy of Enforcement. Additionally, she served 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, and regulatory examinations.

As a regulator, Emily advised on enforcement cases, examinations, and rulemaking involving municipal securities regulations and public finance issues. At FINRA, she had responsibility for the Fixed Income Policy area within the examination program, including G-37 exemption requests. Emily’s responsibilities included coordination with the MSRB on regulatory issues and enforcement. While at the SEC, Emily advised on public finance enforcement cases and investigations involving underwriters, issuers, public officials, and obligated persons on a variety or disclosure issues, including Rule 15c2-12, suitability, G-37, compensation, and sales practice issues.

  • American University Washington College of Law, JD, cum laude
  • Gettysburg College, BA, magna cum laude

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

  • District of Columbia
  • Maryland
  • 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, "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
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