Home

Baker Botts Partner Appointed Head of Enforcement for FINRA
Download PDF
1 Star2 Stars3 Stars4 Stars5 Stars (No Ratings Yet)
Loading...

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.”

  
What
Where


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.

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.

Get JD Journal in Your Mail

Subscribe to our FREE daily news alerts and get the latest updates on the most happening events in the legal, business, and celebrity world. You also get your daily dose of humor and entertainment!!






 

Interesting Legal Sites You May Like


BCG FEATURED JOB

Locations:

Keyword:



Search Now

Litigation Associate Attorney

USA-SC-Columbia

Columbia office is seeking a commercial litigation attorney with 2-4 years of experience.

Apply Now

Attorney with 3-7 years of commercial/complex litigation experience

USA-CA-Cerritos

Cerritos office of our client seeks attorney with 3-7 years of commercial and complex litigation exp...

Apply Now

Insurance Coverage Associate Attorney

USA-IL-Chicago

Chicago office of our client seeks associate attorney with insurance coverage experience. The candid...

Apply Now

Patent Agent with 1 year of electrical engineering experience

USA-CA-San Francisco

San Francisco office of our client seeks entry level patent agent with 1 year of experience. The can...

Apply Now

RELEVANT JOBS

Corporate / Commercial Attorney | Lebanon, NH

USA-NH-Lebanon

Downs Rachlin Martin PLLC seeks an experienced corporate / commercial attorney to join its Lebanon o...

Apply now

Executive Assistant / Office Administrator

USA-TX-Rosenberg

If you have administrative support experience in the legal industry, or even paralegal expertise,...

Apply now

Associate - Mid-Level - GL Group

USA-NY-Valhalla

Defense firm seeking mid-level associate for Westchester office to fill General Liability position. ...

Apply now

Mortgage Compliance Analyst

USA-MN-Minnetonka

Job Description: Rubicon Mortgage Advisors LLC, a locally-owned, boutique mortgage lender is seeki...

Apply now

SEARCH IN ARCHIVE

To Top