Employment Page

• Investment Banking Analyst
  Dallas, TX - Duff & Phelps
• Enterprise Architect
  Rockville, MD - Finra
• Associate Developer SQL
  Rockville, IN - Finra
• Chief Counsel - Market Regulation, Legal
  Rockville, IN - Finra
• Business Analyst
  New York, NY - Finra
• Team Leader - Market Regulation, Short Sales
  Rockville, IN - Finra
• Associate Test Automation Developer
  Rockville, IN - Finra
• Regulatory Analyst - Market Regulation, OATS
  Rockville, IN - Finra
• Regulatory Analyst - Market Regulation, Fixed Income-Securitized Products
  Rockville, IN - Finra
• Regulatory Analyst - Market Regulation, Short Interest
  Rockville, IN - Finra
• Attorney II
  Washington, DC - Finra
• Regulatory Analyst, Regulatory Programs
  Washington, DC - Finra
• Team Leader - Market Regulation, Customer Issues
  Rockville, IN - Finra
• Enforcement Regional Counsel
  Dallas, OR - Finra
• Regulatory Analyst - Securities Fraud Investigations-OFDMI/Whistleblower
  Rockville, IN - Finra
• Regulatory Analyst - OFDMI-Fraud
  Rockville, IN - Finra
• Compliance Examiner - Market Regulation, Trading and Market Making Surveillance
  New York, NY - Finra
• Senior Risk Specialist, Office of Risk Management
  New York, NY - Finra
• Senior Specialist, Systems Admin & Ops
  Rockville, IN - Finra
• Compliance Examiner - Sales Practice
  New York, NY - Finra

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Updated FINRA Cases of Note Now Online 
With Bill Singer's Analysis

FINRA cites a growing number of Annual Compliance Certification violations in 2011, and December saw an unusually large sample.

2011 saw numerous Promissory Note cases -- both those involving loans to stockbroker from their firms, and those involving the sale of such instruments by stockbrokers to their clients.

If you don't have sufficient funds to cover that check you wrote, it's going to come bouncing back as "NSF". Bet you didn't realize that this could become a FINRA regualtory matter. 

If you were involved in selling Private Placements in 2011, you may have exposed yourself to a whole lotta hurt for regulatory violations. You better familiarize yourself with FINRA's concerns.

Maybe the whole cold calling and customer service part of being a stockbroker just ain't your thing.  Maybe you have a hankering for the bright lights of entertainment -- you showed some talent for Impersonation of customers and colleagues but, alas, FINRA panned your performance.