FacultyFaculty/Author Profile

Catherine C. Gordon

E*TRADE Financial Corp
Director, Associate General Counsel
Arlington, VA, USA

Katy is a Director, Associate General Manager at E*Trade Financial Corporation, supporting both investment advisory and brokerage platforms and helps manage regulatory investigations.  Most recently, she served in the Chief Counsel’s Office of the Division of Investment Management at the SEC.  Katy has nearly 20 years of industry experience, having begun her career as an account officer at Waterhouse Securities, before becoming a compliance examiner in FINRA’s Enforcement, Market Regulation and Ad Review Departments.  Katy also worked for two major international law firms and served at the Municipal Securities Rulemaking Board as Assistant General Counsel.

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