J. Bradley Bennett, Executive Vice President, is responsible for FINRA’s Department of Enforcement. In this capacity, Mr. Bennett directs investigating and bringing all formal disciplinary actions against firms and associated persons for violations of FINRA rules and federal securities laws.
Mr. Bennett received his undergraduate degree from St. Lawrence University and his J.D. from Georgetown University Law Center.
He started his career at the SEC as a senior attorney in the Division of Enforcement focusing on cases of all facets of securities law, including accounting, broker-dealer regulation, tender offers and insider trading.