© 2017 The Texas Lawbook.
By Brooks Igo
(April 5) – Brad Bennett, the former executive vice president and chief of enforcement at the Financial Industry Regulatory Authority (FINRA), has returned to private practice at Baker Botts in Washington, D.C., the firm announced on Monday.
Bennett was previously with Baker Botts for 10 years before leaving for the opportunity at FINRA in 2011.
“After six rewarding years at FINRA, it was time to return to my roots as a white collar defense lawyer,” he said. “I look forward to a fast-paced and complex practice with my talented colleagues at Baker Botts.”
At FINRA, Bennett set enforcement priorities and supervised 275 enforcement lawyers. He also expanded efforts to prevent investor harm by addressing misconduct related to retail sales abuse and elderly or vulnerable victims.
“An effective advocate must have an intimate understanding of the perspective of regulators,” he said. “This is the most important thing I will bring to Baker Botts and its clients.”
Bennett says the most significant issues related to FINRA this year that clients should be paying attention to are anti-money laundering, complex products, cyber security and the increased focus on individual liability.
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