Sam Draddy

Information

Position

Senior Vice President, Surveillance and Market Intelligence

Company

FINRA

About

Sam Draddy is the Senior Vice President in charge of the Market Abuse Unit in the Surveillance Department at FINRA. In this role, Mr. Draddy oversees the Insider Trading, Fraud, Manipulation, Capital Raising, Frontrunning, Account Takeover and Reg M surveillance teams which have responsibility for conducting surveillance across the U.S. equity, options and fixed income markets. Mr. Draddy joined FINRA in 2007 after more than seven years in the Division of Enforcement at the Securities and Exchange Commission (SEC). At the SEC, he was a Senior Counsel in the Division of Enforcement from 1999 through 2004, and then a Branch Chief in SEC Enforcement from 2005 through 2007. Prior to his tenure at the SEC, Mr. Draddy was a criminal prosecutor in the State’s Attorney’s Office for Baltimore County, MD, from 1994 through 1999. Mr. Draddy was also a Series 7 licensed registered representative at Paine Webber in 1993. Mr. Draddy received his bachelor’s degree from Brown University in 1987 and law degree from New York Law School in 1993.