InvestOps USA 2025

March 10 - 12, 2025

JW Marriot Grand Lakes, Orlando

J. Bradley Bennett

Former Enforcement Chief FINRA

J. Bradley Bennett recently re-joined the firm's White Collar Practice after serving as Executive Vice President, Chief of Enforcement, of the Financial Industry Regulatory Authority (FINRA) from January 2011 - January 2017. In that capacity, Mr. Bennett directed investigations and brought formal FINRA disciplinary actions against firms and their associated persons for violations of FINRA rules and federal securities laws. His tenure at FINRA has been publicly recognized as one in which FINRA brought cases within its experience and responsibility and on a scale of size, sanction and sophistication that can compete with federal regulators, including the U.S. Securities and Exchange Commission (SEC). Under his leadership, the Department's team of 275 attorneys and staff increased the number of both formal actions and bars and expulsions of bad actors by 20%. Financial sanctions increased from $41 million in the year prior to his arrival to $175 million in 2016.

Check out the incredible speaker line-up to see who will be joining J. Bradley.

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