Radhika Bhargava
About Radhika Bhargava
Radhika Bhargava serves as Senior Counsel at the Financial Industry Regulatory Authority (FINRA), where she has worked for 20 years. She specializes in regulatory inquiries, compliance reviews, and litigation, drawing on her extensive legal education and experience in corporate law.
Work at FINRA
Radhika Bhargava has served as Senior Counsel at the Financial Industry Regulatory Authority (FINRA) since 2004. In this role, she provides legal counsel and guidance to examination teams conducting onsite examinations of firms. Her responsibilities include drafting regulatory inquiry letters and reviewing responses as part of investigation duties. Bhargava handles litigation and advocacy tasks, which involve drafting complaints, pre-hearing briefs, and motions for disciplinary proceedings. Her investigations address various issues, such as inadequate supervision, net capital deficiency, and anti-money laundering.
Education and Expertise
Radhika Bhargava holds a Bachelor of Laws (LL.B.) from Awadesh Pratap Singh University, Rewa. She is currently pursuing a Master of Laws (L.L.M.) in Corporate Law at New York University School of Law, a program she has been involved with since 1999. Her educational background supports her extensive experience in regulatory compliance and legal counsel within the financial industry.
Background
Radhika Bhargava has a significant background in legal practice, particularly in the financial sector. Her role at FINRA has allowed her to develop expertise in regulatory inquiries and compliance matters. She conducts supervisory reviews of firms' written procedures and supervisory systems to ensure adherence to regulatory requirements. Additionally, she consults with internal experts before making recommendations to senior management.
Achievements
Throughout her career, Radhika Bhargava has gained extensive experience in negotiating settlements and sanctions with respondents and their counsel. Her work involves conducting thorough investigations and providing legal advice that influences regulatory practices within the financial industry. Bhargava's contributions to FINRA and her legal expertise have positioned her as a knowledgeable resource in her field.