On January 17, the Financial Industry Regulatory Authority Inc. promoted and named Jessica Hopper as Executive Vice President and Head of Enforcement. Hopper had been serving as the Acting Head of Enforcement since Susan Schroeder announced her departure in September 2019. Hopper now reports directly to CEO Robert Cook.
Hopper began working at FINRA in 2004 and served as Director in FINRA’s Washington, D.C. home office until 2011. Then, she was promoted to Vice President in charge of the regional enforcement program. In 2016, she was named Senior Vice President and Deputy Head of Enforcement.
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.
“She is highly regarded as an enforcement lawyer and a thoughtful, collaborative leader, and during the course of her career has demonstrated a deep commitment to protecting investors and the integrity of our markets,” Cook said in the statement announcing the promotion.
Troutman Sanders regularly represents financial services institutions and their associated persons, including brokers, financial advisors, and other registered representatives in FINRA arbitrations, securities industry disputes, and regulatory matters involving customer, employment, and intra-industry claims.