Emily Gordy


Partner

McGuireWoods


Emily counsels broker-dealer and investment advisor clients, and is a member of the firm’s Financial Services Litigation Department and Broker-Dealer/Investment Advisor Industry 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, sales practice, disclosure, regulatory reporting, books and records, membership application, data privacy, cybersecurity, 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 the 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.


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