Abigail Hooper

The Alaric Team

• Guy F. Talarico
• Michael D. Appleton
• Edward J. Cook
• James T. Detmer
• Joseph M. DiBartolo
• Bob Frize
• Christopher Lewis
• Joseph McDermott
• Melissa Talarico
• Mildred Hernandez
• Abigail Hooper
• Lisa P. Sullivan

Abigail Hooper, Assistant Director

Abigail Hooper
Assistant Director

Office: New York
Phone: (646) 472-1866
Fax: (212) 608-1606
Email: ahooper@alariccompliance.com

Abigail Hooper has over 15 years of experience in the financial services industry. Most recently, she worked in the Compliance Department at Ryan Beck & Co which acquired Gruntal & Co. in 2002. During her years at Ryan Beck and Gruntal, she was responsible for:

• Administering the email and instant messaging surveillance security;
• MSRB G-37 filing;
• Assisting in annual branch audit examinations;
• Posting the restricted securities lists and reviewed exception reports for violations;
• Coordinated and formulated correspondence relating to NASD Rule 3050/NYSE Rule 407;
• Facilitating the resale of restricted securities, subject to Rule 144, 144(k), 145, 701, Registration Statement and Employee Stock Options Exercise;
• Preparing responses to regulatory, state and SRO inquiries;
• Conducting surveillance of employee and customer trading; and
• Performing monthly order ticket review and hindsight/Chinese Wall reviews.

Ms. Hooper graduated from York College (City University of New York) with a BS in Business Administration.