Sam Draddy is a Senior Vice President in FINRA’s National Cause and Financial Crimes Detection Programs and head of FINRA’s Insider Trading Surveillance, Fraud Surveillance and PIPEs Surveillance Sections. The Insider Trading, Fraud Surveillance and PIPEs Surveillance teams are responsible for conducting frontline surveillance and investigations for potential insider trading and fraud across the entire U.S. marketplace These teams collectively send approximately 800 referrals a year detailing suspicious fraudulent conduct to the SEC’s Division of Enforcement as well as investigate and pursue fraud matters involving FINRA registered representatives in collaboration with FINRA’s Enforcement Department.
Sam joined FINRA in 2007 after more than seven years in the SEC’s Division of Enforcement. Sam was a Senior Counsel in the SEC’s Division of Enforcement from 1999 to 2004, and then a Branch Chief in Enforcement from 2005 to 2007. Prior to the SEC, Sam was a criminal prosecutor in the State’s Attorney’s Office for Baltimore County, Maryland from 1994 to 1999.
Sam received a Bachelor of Arts degree from Brown University and a J.D. from New York Law School.