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"Hopper, Jessica"
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Night moves
\"Written in taut, mesmerizing, often hilarious scenes, Night Moves captures the fierce friendships and small moments that form us all. Drawing on her personal journals from the aughts, Jessica Hopper chronicles her time as a DJ, living in decrepit punk houses, biking to bad loft parties with her friends, exploring Chicago deep into the night. And, along the way, she creates a homage to vibrant corners of the city that have been muted by sleek development. A book birthed in the amber glow of Chicago streetlamps, Night Moves is about a transformative moment of cultural history - and how a raw, rebellious writer found her voice\"--Good Reads.com.
Book
FINRA Slaps UBS With $2M Fine for Repeat Muni Violations
UBS failed to timely address municipal short positions and inaccurately represented the tax status of thousands of interest payments to customers.
Journal Article
FINRA Names New Head of Enforcement
Jessica Hopper replaces Susan Schroeder who departed in September.
Trade Publication Article
FINRA Enforcement Chief Schroeder to Leave Later This Year
FINRA will search both internally and externally for Schroeder's replacement.
Journal Article
Merrill, Raymond James to Return $12M in Excess 529 Plan Fees
These matters concern issues that pre-date FINRA's 529 Plan Share Class Initiative, announced earlier this year.
Journal Article
FINRA fines Robinhood $1.25M over best execution reviews
For a one-year period ending in 2017, the commission-free online brokerage failed to “reasonably consider” factors including price improvement for clients when considering broker-dealers to execute its client trades, according to FINRA. \"There are clearly a number of ways to generate revenues from a retail broker perspective that includes revenue on cash and on securities lending and on payment for order flow. “Over the last two years, we have significantly improved our execution monitoring tools and processes relating to best execution, and we have established relationships with additional market makers,” according to the Robinhood spokesman. Since 2017, the firm has taken measures to enhance its best execution policies, according to a corrective action statement provided by the firm.
Trade Publication Article
FINRA fines Robinhood $1.25M over best execution reviews
For a one-year period ending in 2017, the commission-free online brokerage failed to “reasonably consider” factors including price improvement for clients when considering broker-dealers to execute its client trades, according to FINRA. \"There are clearly a number of ways to generate revenues from a retail broker perspective that includes revenue on cash and on securities lending and on payment for order flow. “Over the last two years, we have significantly improved our execution monitoring tools and processes relating to best execution, and we have established relationships with additional market makers,” according to the Robinhood spokesman. Since 2017, the firm has taken measures to enhance its best execution policies, according to a corrective action statement provided by the firm.
Trade Publication Article