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, fintech companies, 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.
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