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. He was co-chair of the white collar and corporate investigations group at Baker Botts LPP. He represented clients in investigations by the Securities and Exchange Commission and defended clients charged with financial crimes. His practice covers SEC enforcement proceedings, internal investigations, the Foreign Corrupt Practices Act, shareholder litigation and criminal matters involving all manner of business crimes.
Recent engagements include representing Fortune 100 issuers in connection with multifaceted high-profile civil and criminal inquiries and the office of a senior member of Congress in connection with SEC review of treatment of legislative information. He regularly counsels senior management and boards of directors on governance and compliance obligations under Sarbanes-Oxley.
Mr. Bennett's trial practice has involved the defense of a former general counsel of the Department of the Treasury charged with mail and securities fraud, the defense of civil insider trading charges and several significant trials on behalf of the SEC. He spent four years with the SEC's Division of Enforcement, where he was responsible for cases covering all facets of securities law, including accounting, broker-dealer regulation, tender offers and insider trading.
Mr. Bennett teaches a class on SEC enforcement proceedings at Catholic University's Columbus School of Law, as well as courses on securities law, evidence and expert witnesses for the American Bar Association, the National Institute of Trial Advocacy and the District of Columbia Bar/George Washington University Law School continuing legal education program. He regularly appears in print and on television to offer commentary on emerging criminal and securities law issues. Appearances include MSNBC, Fox News, Bloomberg TV and The Wall Street Journal.
As part of his pro bono work, Mr. Bennett represents homeless persons through the Washington Legal Clinic for the Homeless.