LPL hires former Wall St regulator to bolster regulatory expansion

September 17, 2015 8:14 PM

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Sept 17 In a sign of the growing importance of regulation and compliance at independent brokerages, LPL Financial Group is splitting its regulatory affairs group in half and hiring another former Wall Street regulator to help run the department.

Emily Gordy, a former enforcement executive at the Financial Industry Regulatory Authority (FINRA), will run the part of the firm's legal group that deals with regulatory inquiries and investigations, the company confirmed on Thursday.

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