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October 07, 2014 at 05:32 AM
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.”
