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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA's New Head of Enforcement
FINRA selected J. Bradley Bennett, a law partner at Baker Botts in Washington, DC, as its new head of Enforcement; he'll start 1/1/11, taking over for James Shorris, who's been acting Chief of Enforcement since Susan Merrill departed the organization last March. Mr. Bennett has been at Baker Botts since 2001, specializing in financial and securities law violations. Before joining Baker Botts, he was an attorney at Miller, Cassidy, Larocca & Lewin. He started his career at the SEC, also in enforcement. He's also an adjunct professor of securities regulation at Catholic U. School of Law.
At FINRA, Bennett will be responsible for managing approximately 300 enforcement staff in 17 offices across the U.S., and he'll report to FINRA Vice Chairman Stephen Luparello. [FINRA News, 10/21]
Click for : Bennett Bio at Baker Botts.

