An experienced trial lawyer and litigator, Erica Gerson has 15 years of experience representing financial institutions and individuals in regulatory enforcement matters, complex litigation, regulatory inquiries, examinations, and internal investigations. Erica draws from her experience at the Financial Industry Regulatory Authority (FINRA), where she developed insight into how regulators conduct investigations and determine whether to pursue disciplinary actions.
Erica served as an Associate Director in FINRA's National Cause and Financial Crimes Detection Programs department, which is part of Member Supervision, where she oversaw investigations regarding violations of FINRA rules, federal securities laws and rules, and other financial crimes. She also advised officers at FINRA regarding the appropriate disposition of matters and oversaw the referral of matters to federal and state regulators. Previously, Erica was a Senior Counsel in FINRA's Enforcement Department, where she represented FINRA in disciplinary actions and led investigations regarding securities fraud, supervision failures, disclosure violations, and a variety of sales practice violations.
Erica represents broker-dealers, investment advisers, insurance companies, and individuals in regulatory inquiries, examinations, enforcement matters, and commercial disputes. Erica also partners with clients to conduct internal investigations to assess policies and procedures, identify potential employee misconduct, and devise solutions to minimize risk and remediate systemic problems. Erica has tried cases before courts (bench and jury trials), FINRA's Office of Hearing Officers, and arbitration panels.
- District of Columbia
- US Court of Federal Claims
- US Court of Appeals, Fourth Circuit
- US District Court, District of Columbia
- US District Court, District of Maryland
- Hon. Charles B. Day, US District Court, District of Maryland, 2004-2005
- J.D., American University, Washington College of Law, 2004, cum laude; Note and Comment Editor, The Administrative Law Review
- B.A., University of Maryland, 2000
- "Whistleblower Investigations and Regulatory Enforcement Trends," Elevating Black Excellence Virtual Regional Summit Series, April 27, 2021
News & Publications
July 29, 2021
December 1, 2020
October 28, 2021
- Women's White Collar Defense Association