Investor Alert > Broker John Hopper Alleged Discussion of an Unapproved Private Securities Transaction

Posted Jul 29, 2019

by Alan Rosca

Broker John Hopper Alleged Discussion of an Unapproved Private Securities Transaction

John Hopper Allegedly Discussed Unapproved Private Securities Transaction with Investors

Broker John Hopper allegedly discussed an unapproved private securities transaction with investors, according to an Employment Separation After Allegations Disclosure filed on Hopper’s FINRA BrokerCheck Report which is currently under review by investor rights attorney Alan Rosca.

John Marion Hopper was permitted by Cambridge Investment Research, Inc. to resign, according to the aforementioned Disclosure, which was filed on April 8, 2019.

John Hopper was registered with Cambridge Investment Research, Inc. in Henrico, Virginia from September 30, 2015 until April 12, 2019, FINRA notes.

Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to John Marion Hopper’s alleged discussion of an unapproved private securities transaction with investors. Investors who believe they may have lost money in activity related to John Marion Hopper’s alleged discussion of an unapproved private securities transaction with investors are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Invested with John Marion Hopper?

Broker John Hopper No Longer Registered with FINRA

John Marion Hopper is not currently registered as an investment adviser representative, FINRA states, but was also registered at the following firms:

FTB Advisors, Inc., Richmond, VA— September 24, 2010 to June 12, 2015
FTB Advisors, Inc., Memphis, TN— April 11, 2012 to October 10, 2013
Wells Fargo Advisors, LLC, Richmond, VA— April 8, 2005 to June 16, 2010
SouthTrust Securities, LLC, Birmingham, AL— April 3, 2003 to April 11, 2005
First Union Securities, Inc., St. Louis, MO— October 1, 2000 to December 7, 2000
First Union Brokerage Services, Inc., Charlotte, NC— November 1, 1994 to October 1, 2000

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

Invested with John Marion Hopper?

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating John Marion Hopper’s alleged discussion of an unapproved private securities transaction with investors. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of John Marion Hopper’s alleged discussion of an unapproved private securities transaction with investors may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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