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Senior FINRA Official Emily Gordy Joins Shulman Rogers as Financial Regulatory Group Chair

October 6, 2014

Emily P. Gordy, Senior Vice President, Enforcement for the Financial Industry Regulatory Authority (FINRA) has joined Shulman Rogers as Chair of the firm’s Financial Industry Regulatory Group.

As Senior Vice President of Enforcement, Ms. Gordy led the regulator’s efforts to resolve issues arising in investigations and disciplinary actions across the full range of violations and misconduct, including fraud, sales practice supervision, reporting, municipal rule violations, Reg SP and anti-money laundering and suspicious activity reporting.  

“Emily literally wrote the book on FINRA’s disciplinary program.  There is no one with a better understanding of the regulations, the regulators or the process than Emily.  She will be a tremendous asset for the firm’s broker-dealer, investment adviser and investment fund clients for regulatory, compliance, and enforcement matters and for the broad range of financial institution clients for Anti-Money Laundering and other compliance and enforcement issues,” said Scott Museles, Chair of the Business & Financial Services Department of Shulman Rogers. 

In her 14 year career with FINRA, Ms. Gordy held a number of senior positions, including Senior Vice President/Deputy for Enforcement’s Home Office, Senior Vice President/Regional Enforcement, in which she managed a 75 member team located throughout the country in every FINRA district office that brought over 700 disciplinary actions each year.  She also led NASD’s Enforcement Integration Team during the consolidation of NASD’s and the NYSE’s regulatory functions and was a key player on FINRA’s amendments of its disciplinary rules.  Prior to her career at FINRA, Ms. Gordy held a number of positions with the SEC, including Deputy Chief Counsel in the Enforcement Division’s Office of Chief Counsel, where she was centrally involved in many of the Division’s most important cases.  

Shulman, Rogers, Gandal, Pordy & Ecker, PA is one of the largest, most respected law firms in the Washington, D.C. metropolitan area. “Over the past two years, the firm has significantly increased its government investigations team with Paul Huey-Burns, Russell Duncan, Joel Schwartz and David Robbins joining Jacob Frenkel to provide a full range of securities enforcement, financial services regulatory and government investigations advice,” said Managing Shareholder, Sam Spiritos

“I plan to work closely with the firm’s broker dealer, advisor and funds clients on regulatory, compliance, and enforcement matters and to work with the broad range of financial institutions on Anti-Money Laundering and other regulatory and enforcement issues.  I have had a wonderful opportunity to play a major role in developing the regulatory framework on many issues for FINRA and, previously, at the SEC.   I am truly looking forward to helping clients successfully navigate the regulatory and investigative process.  Shulman Rogers’ commitment to client service and focus on problem solving gives me the perfect platform to do just that,” said Ms. Gordy.




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