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FINRA’s Senior VP of Enforcement Moves to Shulman Rogers

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The Financial Industry Regulatory Authority’s senior vice president of enforcement, Emily Gordy, has joined Shulman Rogers as chairwoman of the firm’s Financial Industry Regulatory Group.

In her previous role at FINRA, Gordy led the regulator’s efforts to resolve issues arising in investigations and disciplinary actions involving fraud, sales practice supervision, reporting, municipal rule violations, Regulation SP and anti-money laundering and suspicious activity reporting. 

“Emily literally wrote the book on FINRA’s disciplinary program,” said Scott Museles, chairman of the Business & Financial Services Department at Shulman Rogers.

“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 advisor 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.”

Gordy, who will be based in Washington, added in the statement that she plans “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.”

During her 14-year career at FINRA, Gordy held a number of senior positions, including senior vice president/deputy of enforcement’s home office, senior VP/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 New York Stock Exchange’s regulatory functions and was a key player in FINRA’s amendments to its disciplinary rules. 

Prior to joining FINRA, Gordy held a number of positions with the Securities and Exchange Commission, including deputy chief counsel in the Enforcement Division’s Office of Chief Counsel, where she was involved in many of the division’s most important cases.

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