FINRA

FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

FINRA Enforcement works on the front lines of investor protection—not just now, as some look to take advantage of these uncertain time to defraud investors or manipulate the markets – but always. On this episode, we meet Jessica Hopper, FINRA’s new Executive Vice President and Head of Enforcement, to hear what her team is doing today, and every day, to prevent investor harm and to maintain the integrity of our markets. Plus, we hear what keeps Jessica motivated to do what she does. Resources mentioned in this episode:Episode 9: Introducing FINRA’s New Enforcement TeamMonthly Disciplinary ActionsIndividuals Barred by FINRA

Duration: 26 min

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