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Baker Botts Partner Appointed Head of Enforcement for FINRA

Baker BottsBaker Botts partner J. Bradley Bennett has been named the new head of enforcement for the Financial Industry Regulatory Authority. He will begin his tenure on Jan. 1.

Bennett, a partner at Baker Botts since 2001, replaces James Shorris, who served as acting chief of enforcement for FINRA following Susan Merrill’s departure in March. In the role, Bennett will be responsible for the management of approximately 300 enforcement staff in 17 offices across the United States and report to FINRA Vice Chairman Stephen Luparello.

“Brad will be a forceful advocate for investors, especially in dealing with those who would seek to violate the rules,” Luparello said. “I have known Brad for many years and he stands out for his understanding of securities laws.”

Bennett’s practice at Baker Botts specializes in financial and securities law violations. Prior to entering private practice he was a senior attorney in the division of enforcement for the Securities and Exchange Commission.

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FINRA is the largest non-governmental regulator for all securities firms doing business in the United States and is dedicated to investor protection and market integrity.

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