Chair, Financial Industry Regulatory Practice
Shulman, Rogers, Gandal, Pordy & Ecker P.A Formerly SVP of FINRA
EMILY GORDY chairs Shulman Rogers’ Financial Industry RegulatoryPractice. Ms. Gordy works on behalf ofbroker-dealer, investment adviser, issuer, and investment fund clients onregulatory, compliance, and enforcement matters. Ms. Gordy joined the firm after 27 years as afinancial regulator at FINRA and the SEC. Ms. Gordy’s clients benefit from the respect she enjoys at FINRA and theSEC. With her exceptional understandingof the FINRA regulations, her deep familiarity with FINRA regulators across thecountry and her passionate commitment to assuring that her clients have thebest representation possible, she is well positioned to help resolve issuesarising in examinations, investigations, and disciplinary actions. Sherecognizes that many clients find themselves in difficulty due tomisunderstandings of complex financial regulatory rules and requirements or asa result of business decisions that have led to compliance issues. She helps these clients manage the full rangeof issues arising from examinations and investigations including anti-moneylaundering and suspicious activity reporting issues, a variety of salespractice issues, supervision failures, municipal rule violations, Reg SP issuesand fraud. Her goal in every matter is to deliver the best outcomes possiblewith a particular emphasis on achieving resolutions of identified deficienciesso business operations can continue unimpaired. This includes resolving issueswithout action, informal dispositions or negotiating appropriate resolutions toformal actions.