FINRA’s Enforcement Chief Parts Ways with Wall Street Self Regulator

[kreslik.news]

Bradley (Brad) Bennett, Executive Vice President and Chief of Enforcement at the Financial Industry Regulatory Authority (FINRA), Wall Street’s self-policing organization, is leaving to pursue a job in the private sector.

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As executive director of enforcement at FINRA, Mr. Brad directed investigations of stockbrokers and brokerage firms. In essence, he operated as the enforcement division’s chief operating officer, overseeing its day-to-day operations.

Mr. Bennett handled several prominent cases for FINRA including a multi-firm settlement regarding conflicts of interest related to the ToysRUs IPO. He also ... (read more)