finra

J. Bradley Bennett


Executive Vice President, Enforcement

 

Photo of J. Bradley Bennett

J. Bradley Bennett, Executive Vice President of Enforcement, joined FINRA in January 2011, and is responsible for overseeing FINRA's Department of Enforcement. In this capacity, Mr. Bennett directs investigating and bringing all formal FINRA disciplinary actions against firms and their associated persons for violations of FINRA rules and federal securities laws.

Previously, Mr. Bennett was a partner at the law firm Baker Botts in Washington, DC, where he specialized in financial and securities law violations. Before joining Baker Botts in 2001, he was an attorney at Miller, Cassidy, Larocca & Lewin.

Mr. Bennett started his career at the Securities and Exchange Commission as a senior attorney in the Division of Enforcement, with responsibility for cases covering all facets of securities law, including accounting, broker-dealer regulation, tender offers and insider trading.

Mr. Bennett serves as an adjunct professor of securities regulation at Catholic University's Columbus School of Law. He received his undergraduate degree from St. Lawrence University and his J.D. from Georgetown University Law Center.