TSL Express Daily News
The Secured Lender
SFNet's The 81st Annual Convention Issue
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Top 5 Apps for Organizing
Mar 7, 2019If you’re like most of us, we try to stay organized in business and life, but it gets increasingly complicated…
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The Importance of Stretching
Mar 7, 2019Every personal trainer and athletic coach I have ever worked with has stressed the importance of stretching. When working out…
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SFNet's 40 Under 40 Award Winners Panel Recap
Mar 6, 2019Moderator: Samantha Alexander, regional underwriting manager, Wells Fargo Capital Finance’s Corporate Asset Based Lending group and 2016 CFA 40 Under…
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SFNet's Inaugural YoPro Leadership Summit
Mar 6, 2019The Secured Finance Network brought together the next generation of commercial finance leaders for a full day of learning and…
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It’s a Marathon, Not a Sprint
Aug 22, 2018I was recently invited to participate in an executive panel to answer questions from a credit training class comprised of...
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It’s Not Too Late – Five Member Benefits to Cash In On Now
Aug 1, 2018As we hit the half way mark on calendar year 2018, it is a good time to take stock and…
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It’s Time To Break Up With Your Phone
Jul 18, 2018Do I have your attention? Let’s be honest here: do you have the attention span to read this article? Compared…
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Lien Management – What You Need to Know
Jun 6, 2018UCC filing is the cornerstone of all loans and every lien portfolio...
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Potential Impacts of Blockchain on Commercial Lending
Jan 15, 2018By Raja Sengupta, Executive Vice President and General Manager, Wolters Kluwer’s Lien Solutions When it comes to the rising importance…
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How to be a Good Leader
Dec 5, 2017I know what you’re thinking…another article about how to be a good leader? The short answer is yes…but this time,…
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Fintech and Due Diligence – Disruptors and Established Firms Evolve
Oct 30, 2017The fintech sector has gone through a number of manifestations in the past two decades.
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A Commercial Banker’s Tickler Transition Plan
Oct 18, 2017Just do a keyword search for “bank tickler,” and you’ll quickly realize that banks are still heavily reliant on manual…
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Understanding and Developing Your Personal Brand: Four Steps to a More Intentional Career Progression
Sep 5, 2017It is imperative for individuals to have a general idea about their future career aspirations, just as companies should have clearly defined strategies.
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Selecting a Technology Vendor: 3 Questions to Ask
Jul 5, 2017As with anything else at your bank, selecting a technology vendor can be a challenging decision. Users from across different…
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Why Back-Office Lending Automation Enhances Customer Satisfaction
Apr 25, 2017Every bank strives to keep its customers happy. Of course, some institutions are better at achieving this goal than…
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The Lost Art of the Loan Purchase
Mar 2, 2017Purchasing a loan directly from a bank whether at par or discount is a not-often-used technique that is easily…
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Audit Prep: Why a Paperless Approach Makes Sense
Feb 15, 2017How much time does your financial institution spend preparing for audits? We recently surveyed 187 community banks, and the results…
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Back Office Support Services: Helping you approve more clients
Feb 7, 2017How many times have you come across a potential client who’s financials are either not up to date, not accurate,…
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“All Assets” is the Key When Drafting UCC-1 Financing Statement Collateral Descriptions
Jan 30, 2017Even when prepared by outside or in-house counsel, many lenders pay close attention to draft UCC financing statements before they…
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Paper Loan Files: Does Your Bank Know the True Cost?
Jan 12, 2017Sure, there’s a tangible cost associated with deploying an electronic loan imaging system. Software, support, and scanning hardware are just…
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April 24, 2024
Source: King & Spalding
WASHINGTON, D.C., April 23, 2024 – King & Spalding announced today that securities regulation lawyer Emily Gordy has joined the firm as a partner in its Special Matters and Government Investigations practice group. Gordy is based in the firm’s Washington, D.C. office.
Gordy handles a wide range of compliance and enforcement issues affecting broker-dealers, fintech companies, investment advisers and investment companies. She also has extensive anti-money laundering (AML) experience.
“Emily has an extensive background in broker-dealer regulation – in private practice, in-house, in the government and at a financial services self-regulator – that enhances and expands our capabilities in this area,” said Mark Jensen, co-leader of the firm’s Special Matters and Government Investigations practice group and managing partner of the Washington, D.C. office. “Emily’s arrival adds depth and strength to help us serve clients on our growing portfolio of SEC, FINRA and state enforcement matters, as well as examinations, investigations and compliance work.”
Gordy joins King & Spalding from McGuireWoods, where she was a partner. Previously, Gordy served as Executive Vice President and Deputy General Counsel for LPL Financial, one of the largest retail investment broker dealer/investment advisory firms. She has also served in a variety of senior positions within the Financial Industry Regulatory Authority (FINRA) and its predecessor NASD, where as Senior Vice President/Deputy Head of Enforcement and in senior policy roles she oversaw major enforcement matters and was instrumental in developing FINRA’s regulatory AML guidance. Her extensive leadership experience at the Securities and Exchange Commission included serving as Deputy Chief Counsel of the Division of Enforcement. Gordy earned her B.A. from Gettysburg College and her J.D. from the American University Washington College of Law.
“I believe collaboration and integration are key to successfully representing clients on high-stakes compliance and enforcement issues, and King & Spalding’s platform is built around those attributes,” said Gordy. “I am eager to use my extensive securities regulation and enforcement experience to team up with my new K&S colleagues – many of whom I have known well including from my time in the government – to serve our clients.”
About King & Spalding
King & Spalding is an international law firm that represents a broad array of clients, including half of the Fortune Global 100, with 1,300 lawyers in 24 offices in the United States, Europe, the Middle East and Asia. The firm has handled matters in over 160 countries on six continents and consistently earns recognition for the results it obtains, uncompromising commitment to quality, and dedication to understanding the business and culture of its clients. More information is available at www.kslaw.com.
Media Contact:
Timothy Vaughn
tvaughn@kslaw.com
+1 212 827 4032
