Emily P. Gordy

Emily Gordy represents broker-dealers and other financial institutions in investigations and enforcement actions involving complex regulatory issues. She is ranked nationally by Chambers USA for Financial Services Regulation: Broker Dealer (Enforcement) and has been recognized by The Best Lawyers in America for Securities Regulation.

Emily’s practice covers a variety of enforcement and compliance issues, including AML, Regulation BI, supervision, conflicts of interest, disclosures, books and records, registration, and licensing. In her advocacy, Emily’s goal is to avoid enforcement action while protecting her clients’ interests. She also partners with clients to identify and address compliance gaps to mitigate regulatory issues.

Emily served as Deputy Chief Counsel, SEC Division of Enforcement, and Deputy Head of Enforcement, FINRA. She was a key leader in the development of FINRA’s multi-pronged AML regulatory program. While serving in-house as Deputy General Counsel at the largest independent broker-dealer/investment adviser firm, Emily oversaw enforcement, examinations, and regulatory counseling.