Emily Gordy

Practice Areas

Emily Gordy advises her clients as they navigate complexities inherent in the securities-regulatory environment. Drawing on more than 27 years of experience as a regulator at the Securities & Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), Emily handles a wide range of compliance and enforcement issues affecting broker-dealers, fintech companies, investment advisers and investment companies.

Emily advises broker-dealers/investment advisers, banks, and fintech companies on a variety of anti-money laundering (AML) issues. At FINRA she helped develop key AML regulatory guidance, regularly coordinated with SEC staff on responding to developing AML issues, advised on AML issues arising in examinations and enforcement investigations and settlements and litigations, and served as the liaison to the Bank Secrecy Act Advisory Committee, a key U.S. Treasury Department, financial regulator, and industry AML advisory group.