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FINRA's New Head of Enforcement

October 22, 2010

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.