Emily Gordy

Former FINRA and SEC regulator Emily Gordy represents broker-dealers, investment advisers, fintech companies and other financial institutions in government and regulatory investigations and enforcement actions involving complex regulatory issues. Clients benefit from Emily’s profound knowledge of securities laws and deep ties with the regulatory community to bring their matters to a successful resolution.

Ms. Gordy’s practice covers the full suite of securities enforcement and compliance issues impacting the financial services industry. She advises on matters involving anti-money laundering (“AML”), Regulation Best Interest, supervision, conflicts of interest, disclosures, books and records, and registration and licensing issues, including statutory disqualifications. Emily fiercely advocates on behalf of clients before government agencies and self-regulatory organizations, where her goal is always to avoid enforcement action while protecting her clients’ business interests. She also partners with clients to identify and address gaps in their global compliance systems to prevent future regulatory scrutiny.