Emily Gordy

McGuireWoods LLP

Emily P. Gordy 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, 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.

Education :

  • American University Washington College of Law, JD, cum laude
  • Gettysburg College, BA, magna cum laude

Admissions : District of Columbia, Maryland.

Cost

Rate : $$$$

What types of cases Attorney Emily Gordy & McGuireWoods LLP can handle?
McGuireWoods LLP can handle cases related to laws concerning Financial Services, Litigation, White Collar Crime, Privacy, Government, Securities Offerings. We manually verify each attorney’s practice areas before approving their profiles and reviews on our website.
Where is McGuireWoods LLP located?
McGuireWoods LLP is located at 2001 K St NW #400, Washington, DC 20006, USA. You can reach out to McGuireWoods LLP using their phone line 202.857.2449. You can also check their website mcguirewoods.com or email them at [email protected].
How much would it cost to hire McGuireWoods LLP?
Emily Gordy lawyer charges are specific to each case. However, they work with contingency fees and its ranges from $$ to $$$. They also provide free consultation [and no obligation quotes] if you are interested to hire.
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McGuireWoods LLP
K Street Northwest 2001
Washington 20006 DC US
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Lina Stillman

5.0
Broadway 42
New York 10006 NY US
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