Chris and Kurt sit down with FINRA Head of Enforcement Jessica Hopper to talk about the role of FINRA Enforcement and several of FINRA’s enforcement priorities – including “finfluencers,” cybersecurity, and complex products – and then bust a few myths about FINRA Enforcement.
Tune in to this episode of FINRA’s own podcast, Unscripted, to hear more from Jessica:
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Featured in this Episode
Jessica Hopper is Executive Vice President and Head of Enforcement, responsible for FINRA’s disciplinary actions across the country. Prior to assuming this role in January 2020, she was Senior Vice President and Deputy Head of Enforcement for four years, and Senior Vice President in charge of the Regional Enforcement program in the 14 FINRA District Offices from 2011 to 2016. Hopper joined FINRA in 2004 and was a Director in FINRA’s Washington, D.C. office until 2011.
Prior to joining FINRA, from 2000 to 2004, she was part of Legg Mason Wood Walker, Inc.'s Legal & Compliance team, where her responsibilities focused on retail sales compliance. She began her career as a litigation attorney in private practice.
Hopper holds a J.D. from the University of Toledo College of Law and earned a B.A. from Hillsdale College.