An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 21, 2012

Bill Singer is pleased to announce that he has become a member of the law firm of Herskovits PLLC, where he will be reunited with his former law partner Robert Herskovits.  
Please visit the law firm's website for more information.  

Visit the BrokeAndBroker 

Featured Job Postings from the Web
Feb 20FFS Sales Support RepresentativeFarmers Insurance GroupAgoura, CA

emphasizing finance or economics preferred. FINRA Series 6, 63 and 26 required within 90-days of hire. Experience Requirements None Special Skills Requirements Developing... more

Feb 19VP Accounting - FINOPNew York, NY

Vice President of Accounting Prestigious International Financial Firm seeks a VP of ... Series 27 highly preferred Must have good working knowledge of Excel including...more

Feb 19Fixed Income Compliance OfficerBroker-dealerNew York, NY

including those promulgated by SEC, FINRA and state jurisdictions Conduct oversight of the account opening process Participate in design and development of surveillance of sales... more

Feb 19Regulatory Reporting Project ProfessionalResources Global ProfessionalsNew York, NY

working with external regulators: SEC, FINRA, NYMEX, Federal Reserve Bank * Experience assisting securities firm in filing to become a bank * Advanced Excel skills and an aptitude... more

Feb 19VP - External Wholesaler / Regional Marketing ManagerInvestment Advisory FirmLos Angeles, CA

or financial services experience Must have FINRA Series 7 & Series 6 Proven record and demonstrated sustainable achievements in a financial sales environment Excellent verbal and... more

Feb 17Pcg Operations LiaisonWells FargoCarbondale, IL

written and verbal communication skills. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more

Feb 17Technical WriterInvestor ForceConshohocken, PA

institutional investment performance reporting system. Familiarity with a variety of financial concepts, practices, and markets. A FINRA/NASD license (e.g., Series 6, 7, 63,... more

Feb 16Compliance AdvisorCommonwealth Financial NetworkSan Diego, CA

compliance or financial services experience FINRA Series 7 and 24 securities registrations FINRA Series 53, preferred, or able to obtain it within 3 months of employment... more

Feb 16Fraud Prevention Analyst - Commercial Card-ELG1JPMorgan ChaseElgin, IL

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... of JPMorgan Chase Bank, N.A.Qualifications FINRA Series 7 and 63 licensing required in... more

Feb 16Financial Advisor Associate - Westbury Post and MapleJPMorgan ChaseWestbury, NY

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... of JPMorgan Chase Bank, N.A.Qualifications FINRA Series 7 and 63 licensing required in... more

Feb 16Financial Advisor Associate - Old Country Road - Spanish SpeakingJPMorgan ChaseWestbury, NY

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... of JPMorgan Chase Bank, N.A.Qualifications FINRA Series 7 and 63 licensing required in... more

Feb 16Compliance Advisor - Branch AuditCommonwealth Financial NetworkSan Diego, CA

Branch office audit experience a plus FINRA Series 7 and 24 registrations, requiredFINRA Series 53 and 65 (or 66) securities registrations required within 90 days of hire Ability... more

Feb 16Investment Banking Project Manager (Associate or Vice President)America's Growth CapitalBoston, MA

MBA or JD from a top school are preferred. FINRA Series 79 license required prior to start. Applicants should also possess: Strong work ethic and passion for investment banking,... more

Feb 15Sr Financial Advisor Ubis (Riverside)Union BankRiverside, CA

experience in a financial institution and FINRA Series 7 and 65 California life and disability. Demonstrated success in soliciting new relationships. Strong verbal, interpersonal... more

Feb 15Vice PresidentCredit SuisseNew York, NY

Bachelor's degree plus 5 years experience & FINRA Series 7 & 63 licenses. Please forward your resume, including salary history to Credit Suisse, P.O. Box MT-67, 71 Fifth Ave, 5... more

Feb 15Life and Financial Sales Zone ManagerFarmers Insurance GroupChicago, IL

Requirements Four-year college degree with FINRA series 6 or 7, 63, 26 and. LUTCF, CLU, ChFC preferred. Experience Requirements Seven years with Farmers, including five years in a... more

Feb 15401k Sales Hunter - Major Accounts JobADPIndependence, OH

and close business. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment.Possess strong... more

Feb 15Exclusive Horace Mannn AgecnyHorace Mann CompaniesPennsylvania

through Horace Mann Investors, Inc., Member FINRA, 1 Horace Mann Plaza, Springfield, IL 62715 * 800-999-1030 Horace Mann is an Equal Opportunity Company Is the Horace Mann... more

Feb 14Regional Supervisory Officer - Investment Banking jobPnc Financial Services GroupAtlanta, GA

censure, suspension or expulsion from FINRA for failure to comply with regulations. ... Bachelor Degree, Business or Finance FINRA Series 7 and 66 or (63 & 65) licenses ,...more

Feb 14DEVELOPMENT MANAGERNew York LifeNew York, NY

- Valid state life and health licenses- FINRA Registrations, Series 6, 63- FINRA Series 26 registration within 120 days- Good written and oral communication skills Desired...more

Feb 14National Sales Manager - Insurance JobAmeriprise FinancialMinneapolis, MN

of market conduct and sales practices.- FINRA registrations include a series 7, 63 or ... Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services... more

Feb 13Financial Advisor Associate - Yorktown HeightsJPMorgan ChaseYorktown Hts, NY

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... of JPMorgan Chase Bank, N.A.Qualifications FINRA Series 7 and 63 licensing required in... more

Feb 13Branch Financial AdvisorPNCCharleston, SC

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required. * Life Insurance License required. * Bachelor's degree preferred with an emphasis on... more

Feb 13DirectorMFS Investment ManagementChicago, IL

d selling skills. Strong presentation skills and thorough product knowledge. Ability to meet extensive travel requirements. Position requires FINRA series 6 and 63 registrations... more

Feb 13Chase Private Client Private Client Advisor- San Francisco, CA (Lombard)JPMorgan ChaseSan Francisco, CA

requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You will ... in addition to meeting and exceeding FINRA continuing education requirements and... more

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Bill SInger Jobs Wells Fargo OBA Fraud U5 Promissory Note Email U4 Merrill Lynch Wire Fraud UBS Guest Blog Morgan Stanley Elderly Forbes EFL FBI Guest Blogger Defamation CRD Suitability PST Statutory Disqualification ALJ Ponzi Citigroup Rule 3270 BrokerAndBroker Borrowing Aegis Frumento Whistleblower BrokerCheck Supervision Outside Business Activity Bank OIP IRS Form U4 DOJ Wachovia Willful Felony Wrongful Termination SDNY NAC Supreme Court Rule 2080 Ameriprise IRA Mail Fraud Pro Se Discretion Expenses WSP OHO BrokeAndBroker Insider Trading CCO Wife Husband Conversion Checks RIA Employment Tuesday Form U5 Rule 8210 Settlement Madoff Punitive Damages Forgery NASD Discovery Tax Dodd Frank Rule 3240 Raymond James Bankruptcy Frumento Credit Card Rule 2010 Rule 3040 Estate Willfulness Rule 1122 Private Securities Transaction JP Morgan Commissions NYSE Indictment Real Estate LPL Power of Attorney Bar 2Cir Business Expenses Wall Street Outside Business Activities Rule 3280 Exam Bank of America Street Legal Facebook Annuities Impersonation ATM Margin Edward Jones Tax Lien Mortgage Small Firm Case In Point Complaint Wire Stephen Kohn Corrective Action Statement Promissory Notes ETF Antitrust Spouse Tax Liens ARS Appeal Test SRO Trust Beneficiary Offer of Settlement Rule 2510 Schapiro Employee Forgivable Loan VA Goldman Sachs Misdemeanor Schwab Injunction Trustee Due Diligence NSF Securities Fraud NASAA T&P Spouses Away Account Conspiracy Unauthorized Discretion CFTC Signatures Insurance HFT POA Money Laundering Lien Fidelity OTR Rule 12206 Initial Decision RBC Cease And Desist Chase Flash Crash Annuity Loan Mandatory Arbitration Barclays PCAOB DCCir Great Recession Signature Bonus LOA Undisclosed Settlement Rule 4511 Deutsche Bank Remand NASDAQ Rule 3010 Dissent Huffington Post Failure to Supervise Eligibility Rule Compliance Credit Cards Liens Burris Hacker Unfair Competition Variable Annuity Stay Gallagher E*Trade Continuing Education email Options Rule 3050 Solicitation Identity Theft RRBDLAW.com Disclosure Bharara Scottrade Lehman Brothers Fiduciary Unsuitability Registered Rep Magazine MSSB Retirement Apple Reimbursement Hacking employment Malware Broker Protocol Forex Stockbrokers JPMorgan Customer FINRA Arbitration Annual Compliance Questionnaire Letter of Authorization Wedbush brokeandbroker Divorce Audit Rule 12805 Second Circuit Reg SP Motion to Dismiss 2nd Circuit Sexist Deceased ACQ Customer Complaint Rule 4530 Wey arbitration Solicited Lehman Blockchain jobs LIBOR OWB Website Variable Annuities Social Media Trump Away Accounts TRO FINOP Registration Prison Net Capital BrokeAndBroker Bill Singer Willfully Explained Decision Will Newman REIT Spoofing Crypto Personal Expenses RRBDlaw.com Commission IC3 Bureau of Prisons Telephone Plea Sanctions BrokeandBroker Trading Platform Jurisdiction China Time And Price Zipper Unauthorized Trading Unsolicited RMBS BOP 10Cir FOREX MetLife Private Securities Transactions Confidential Information Arbitraiton Brummer BrokeAndBroker.com Blog Sexism Private Placement Internet Hilton Weiner Judgments Discrimination bill singer Indemnification ADA Morgan Keegan Dakota Securities Protocol Emails Lucia Board Marijuana Rule 3110 Unjust Enrichment Rakoff WSPs MC-400 Knight Hedge Fund Crowdfunding Rule 12200 Auction Rate Securities Securities Industry Commentator Rule 2150 Stifel Nicolaus Imposter NYAG Mutual Funds Stifel Check Kiting Self Regulation Testimony Statute of Limitations Piwowar Lawyer Rule 2111 Bonds DOL Elder Abuse Disgorgement 9Cir FNMA Postponement IPO Examination Joshua Brown Cheating Cryptocurrency Obstruction of Justice OSHA Fees Debit Card Dementia Wine Botkin Phishing Severance PN Compensation MF Global Confidential Charles Schwab Oppenheimer Regulation SP Hurry Retaliation Charge Confirm Executor PNC Shah Gilani Rule 13805 SAC Passcode Wire Transfer Raiding Reg D Gold Medicare Due Process OIG CEO Vacatur Reg S-P Pennystock Class Action Morgan Stanely Article V Restaurant Loans JOBS Act AML Conflict Bandimere EIA Appointments Clause Affiliate Check Suspension Affinity Fraud Rule 2081 Waiver Stanford Bloomberg Woody Allen Aleynikov Ketchum Churning Rosenthal Recruiting Khuzami Bear Stearns Banc of America High Frequency Trading Sanction Guidelines Online Outside Account Rule 4513 Day Trading Termination FAA White Self Regulatory Organization Kon TD Ameritrade Membership Continuance Statutory Disqualification Committee Corruption Rule 12504 Counterclaim Unregistered CE Parking McDuff Small Firm Governor Rule 9552 Bid Rigging Rule 3030 Hearing TOD USERRA Mutual Fund Disability Chief Compliance Officer Statement of Corrective Action Public Interest Teleconference Customer Information Casino Morgan Stanley Smith Barney Finder\'s Fee Written Supervisory Procedures ING Vault Bitcoin SunTrust Margin Call Penson Charity Manifest Disregard Puerto Rico HSBC CRS Smith Barney Private Placements Testing Pennystocks Mother Aguilar Corzine Employment Agreement Concentration TSSB Deferred Compensation Eligibility Series 7 401k Information Failure To Supervise Marine Corps Commodities Fraud Widow Form ADV Leveraged ETF Poteroba Marines Unauthorized Practice of Law Cannabis Trade Secrets 6th Circuit Slander Side Bar Whistleblowing Vietnam Ride the Thunder Sales Assistant Embezzlement CNBC PAQ Johnny Burris Whitman Government Accountability Project Marketplace Guitron Laptop Yesenia Guitron NPR Consent Order Bank Fraud Accounting Nietzsche Sharemaster Jennifer Tarr Sexual Discrimination Cold Spring Advisory Group FOCUS Privilege Florida OCIE Elder Law Probate Rule 2210 Thain Over Concentration Kiting signature FINRA AWC Inability to Pay Female TIC Obstruction Inside Information Feigenbaum Unsuitable Fifth Amendment RRBDlaw Sexual Harassment Broke And Broker Fowler First Amendment Taft Correctional Institution Argentina BD Stop Loss WB-APP Rule 21F Investor Alert Withdrawals Libel Christian Stanley Resignation FCI Beaumont WaMu David Sobel Moon Judgment FCI Google Do Not Call Reverse Life Insurance Credit Suisse Wanger ACH CGMI TCR Password Research IAR Congress Chiasson 11th Circuit Tax Fraud 4Cir Administrative Remedies BrokeAndbroker Money Market Commodities SIFMA Scottsdale Non-Solicitation Constitution Schneiderman David Lerner Oral Discretion Verbal Discretion Board of Governors Excessive Trading Investment Adviser Stockbroker Regulation Rule 1031 Equity Indexed Annuities Circuit Court Client Information OWWP Rule 2370 Negligence Chase Investment Services CD Control Person Stipulated Award Dell Rule 13200 Hospital Motion Commissioner Stein Outside Accounts BATS SP Escrow Tortious Interference Turnover Joint Account Subpoena Timban BrokerAndBroker.com 40 Act 401(k) Backstage Wall Street Scholander expungement Arrest TheBlot Standing Guest Bloggers Fine Robert Cook Red Flags Rory Flynn Layering Counterfeit Settling Away 9/11 Department of Justice Moore Netschi Federal Reserve Star Wars Inmate Motion to Vacate CPA Medical Condition Lincoln Financial Electronic Communications Rule 9216 Non Solicitation Elles Third Party Vendor VXX DWI Game of Thrones Clayton Undercover Hertz Tran Practice Sale Flash Drive FDA Fiero Meals false statements Pension Expense Gabelli Galleon BrokeAndBroke Disciplinary History Fourth Amendment Apartment Fines Checking Springsteen Sarbanes Oxley Prime Bank McCartney FCPA Subway Reform Promoter Life Settlement FNI Media Skimming Reason for Termination SIPC Nationwide Texting Preet Bharara Fiduciary Duty Falsification Jon Corzine SD CMO Expert Witness Witness Tampering Proctor Texas State Securities Board Wages AIG Sex Tennis Court Retired Woman With Cane Microcap ALJ Grimes Kennedy Relevant Romer Statute of Limitation Motion To Dismiss Martin Mattera Bank Guarantee Selling Away Permanent Bar Reasonable Reverse Merger Scam Risk Mary Jo White JPM Rule 3310 Cybercrime Capital Gains LLC Koval Rule 2330 Compliance Officer Elder Fraud Credit Repair Respondeat Superior Stephen A. Kohn Excel Data Theft Sharing Agreement Finra Leveraged ETFs Collateral Work Product National Securities Compliance Questionnaire Lee Trainee Fee Spoliation Mistake Puts Advisor Placement Group S&P Laser Attorneys Fees Motion to Compel Anderson Attorneys\' Fees Merrill 9th Circuit IM Collateral Bar Lewis Carroll Exhaustion Doctrine 1Cir Cherry Picking Kent Tipper Nasdaq Pacifico Currency PIABA Baby Boomers Willfull Non-Prosecution Agreement Oilpro Confidential Customer Information Lawyers MBS Summary Judgment Goble YouTube Trader Ethics Turbeville Conflicts Tippee AXA Grievance Initials Merill Lynch Salman Service BitTorrent GAP BBVA Liquidation RRBDLAW Disparate Treatment Altered Records FMLA Countrywide Pruco ADR Coin Brokeandbroker.com Enforcement AAA Stock Promotion Taxes Executrix FINRA Board Impersonator Molchatsky NFA 10b-5 Bob Dylan Office of Special Counsel Bill singer Bartko Wells Fargo Advisors NRSRO Sears Sterne Agee Immunity House Financial Services 1099 AWC. FINRA Eric Stein EDNY Branch Manager Newport Coast Securities Newbridge CDO Transfer Retroactive Bar Obamacare Retroactive US Airways Kierkegaard Municipal Advisor God Broy Well Managed Portfolio Life Insurance Undertaking Hugh Hewitt iPhone FINRA Small Firm VIX Supervisor Customer Files Wire Transfers Women Reuters Kenneth Starr Short Sale Compromise Wires Lexicon Test Center Lek Rule 12212 Murray Dinner Constructive Discharge Blank Forms Section 206 Mary Schapiro Criminal Self Reporting BrokeandBroker.com MSPB NYG Capital Books and Records Elon Musk Exotic ETF Merger Spam NML Costa Rica Varney Payroll UIT Death Offset Outside Counsel Martoma Travel Boyland Solomon Chevron State Farm Evidence Schumer Rule 420 Books And Records SEC Rules of Practice Dow Diabetes Janney Montgomery Scott Quasi Governmental 17a-5 Silver Diamonds 8210 Annual Audit FTC Chase Bank Amazon In House Counsel Personal Information Johnson Bill Singer BrokeAndBroker Rule 3210 Regulation S-P Securities and Exchange Commission Walter Naskovets Trading Cellphone Funds BIll Singer Production RICO Financial Disclosure Bribe Fee Father Customers ADEA Rules of Practice