FINRA Faculty: 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.

Comments are closed.

Details

When: Tuesday, April 4, 2017
7:00 am - 8:00 am (breakfast & registration)
8:00 am - 5:00 pmĀ (followed by cocktail party)
Where: Mayflower Hotel
1127 Connecticut Ave, NW
Washington, D.C. 20036
CLE Credit: 6.0 hours approved in PA and VA (and in NY/reciprocal states).

Materials

Links to materials available here.

CLE Info and Forms

SEF2014 CLE -smCLE forms available here.

Corporate Sponsors

Kroll

Ankura230

CrypsisLogo

KoreLogic

JRS230

Cyberspeak230

Law Firm Sponsors

AlstonBird230

BakerHostetler230v2

BakerMcKenzie230

BarnesThornburg230

cov230x60

Debevoise230v2

Dickinson230

ks230v2

Ropes &Gray

Sidley