An irreverent Wall Street Blog
by Bill Singer
Join BrokeAndBroker blog on Facebook  Follow the BrokeAndBroker blog on Twitter  Connect with BrokeAndBroker on LinkedIn  Join Bill Singer on Google+  Subscribe to RSS Feed

Written: April 23, 2012


Visit the BrokeAndBroker 

Apr 23
StockbrokerDMG SecuritiesGreat Falls, VA

STOCKBROKER Recent College Graduates DMG SECURITIES, INC., member FINRA, SIPC. Full service broker. Personalized in-house training. Lucrative payout schedule. Entry Level/All... more

Apr 20FINRA Legal Extern (Unpaid)FinraDallas, TX

We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual for a Graduate Legal Externship in our Enforcement Department in Dallas, TX. This position... more

Apr 19Stock Broker Trainee-Free Series 7 and 63 SponsorshipNew York, NY

seeking qualified candidate for a full time Stockbroker Trainee Position. Full ... sales training to become a Fully Licensed Stockbroker. We will provide: All necessary...more

Apr 12Insurance Specialist (Dallas, TX) - ReqCode 1200015859Bank of AmericaDallas, TX

OPPORTUNITY FOR ACHIEVEMENT™... At Bank of America we take great pride in creating career opportunities for our associates - and we provide them with the training and support they... more

Apr 10Stock BrokerLaidlaw & Company (uk)New York, NY

dynamic and assertive individuals for Stockbroker position. Serious opportunity to make money and build long-lasting profitable career. Stock Broker:Requirement for applicants:... more

Apr 10stock broker stockbrokertraineeBTMNew York, NY

About our Job: A rapidly growing national firm seeking recent college graduates for stock brokers and brokers trainees. You must be money-motivated, self-starting and competitive. more


We are currently recruiting Stockbroker trainees for our office in downtown Miami. This is an excellent career changing opportunity. Hard work and a very strong work ethic are... more

Apr 09Stockbroker trainingMerrick TradersNew York, NY


Apr 09Customers Solutions SpecialistSpringaheadSan Francisco, CA

a competitive swimmer, a Series 7 Certified Stockbroker, a design consultant, a former CEO, a graphic designer, an extreme skier, a professional photographer, an elementary school... more

Apr 04FINRA Extern (Unpaid)FinraBoston, MA

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Legal Extern opening in Boston, Massachusetts. To be considered for this... more

Apr 04STOCKBROKER TRAINEESJez CapitalWellington, FL

STOCKBROKER TRAINEES - For a National firm in West Palm Beach. Must be highly motivated. Competitive payout. Call Jason, 561-253-0830 SF53445 Source - South Florida Sun-Sentinel... more

Apr 03StockBroker / Financial AdvisorJ. P. Turner & CompanyManhattan, NY

Come join one of the leading independent broker dealers, J.P. Turner & Company, L.L.C. at our new location in the Financial District. J.P. Turner has been honored with recognition... more

Apr 23
Financial AdvisorCherry Financial PartnersChicago, IL

Securities Groupwell-established 35 year old FINRA Broker/Dealer to provide the following: Access to major Product Providers Attractive Payouts and Competitive Commissions... more

Apr 20FINRA Legal Extern (Unpaid)FinraDallas, TX

to the FINRA Careers site, enter into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a...more

Apr 20Manager, ComplianceRecruitarrowNewark, NJ

ill assist in monitoring business activities to ensure they are performed in compliance with Company policy, securities laws, and SEC, FINRA, state Insurance and applicable... more

Apr 18FINRA Legal Intern - Dispute ResolutionFinraLos Angeles, CA

to the FINRA Careers site, enter into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a...more

Apr 18FINRA Legal Graduate Extern (unpaid) - EnforcementFinraChicago, IL

to the FINRA Careers site, enter into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a...more

Apr 14Life Insurance Distribution - FINRA / SEC AttorneyVintage LegalNew York

on legal issues under the SEC regulations, FINRA rules, as well as other state and federal insurance laws. Attorney will negotiate, draft and review documents and agreements and... more

Apr 11FINRA Legal Graduate Extern - EnforcementFinraDenver, CO

ABOUT FINRA: The Financial Industry Regulatory Authority (FINRA) is the largest independen ... registered securities representatives. FINRA has approximately 3,200 employees and... more

Apr 11Regulatory Examinations Group - DirectorMorgan StanleyNew York, NY

aspects of regulatory examinations by SEC, FINRA, state regulators, and other exchanges. Responsibilities include responding to requests for documents and information;... more


LICENSED ADMIN -- (FINRA Series 7 &65) CFP a plus. Exc computer & people skills. email Resume to: Source - Orlando Sentinel Please refer to the Job... more

Apr 03Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San AntonioJPMorgan ChaseTexas

Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing ... experience, a bachelor's degree, and FINRA Series 7 and 63 licenses required (if... more

Apr 03Customer (Investment) Service Rep I or II - Wealth Mgmt - Sourcing Req - Broker Service Center - FINRA Series 7 Required - ChicagoJPMorgan ChaseIllinois

- Sourcing Req - Broker Service Center - FINRA Series 7 Required - Chicago, ... experience, a bachelor's degree, and FINRA Series 7 and 63 licenses required (if...more


Previous Entries
April 19, 2014
Will This Tax Season Lien On You?April 18, 2014We just made it through another tax season. The good news is that you filed and are fully paid up -- or... Read On
April 18, 2014
We just made it through another tax season. The good news is that you filed and are fully paid up -- or, the bad news is that you didn't file or you h... Read On
April 17, 2014
In this digital age there are still folks who physically cut-and-paste. How quaint. Of course, quaint or not, when you start using the terms "cut-and-... Read On
April 16, 2014
Here's an interesting cocktail of facts: an IRA, a mother, powers of attorney, and a stockbroker son. Add into that mix questions about whether a $60,... Read On
April 15, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsFor a full listing of current job openings, visit the BrokeAndBroker Employment Page ... Read On
April 14, 2014
Auction Rate Securities are the unwanted gift that keeps on giving. In today's Blog, we report about yet another bit of collateral ... Read On
April 12, 2014
Citicorp Loses Bizarre Motion To Compel Class Action ArbitrationApril 11, 2014As part of the terms of his employment, former Citicorp Credit Services,... Read On Job Search
Related Topics
Tag Cloud
Internet FINRA Bear Stearns Bloomberg SEC NASD NYSE Money Laundering Due Diligence Waiver Forbes China Chepucavage Broy Woody Allen Madoff NAC NPR Marketplace Stanford UBS Ketchum Antitrust NASDAQ RRBDLAW Schapiro Bill Singer BrokerAndBroker USERRA Morgan Keegan Arbitration Khuzami BrokeAndBroker Aleynikov Goldman Sachs brokeandbroker Promissory Note U4 Bill SInger EFL CFTC Huffington Post Flash Crash arbitration RBC Ponzi Affinity Fraud Wachovia Raymond James Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX FBI Banc of America Pro Se Supreme Court Morgan Stanley Smith Barney E*Trade Margin email Galleon Penson U5 Defamation Protocol Wells Fargo Punitive Damages Citigroup Merrill Lynch ARS Employee Forgivable Loan Street Legal Morgan Stanley AWC Fidelity Bankruptcy Broke And Broker HFT David Sobel Day Trading Ameriprise Commissions Spouse Schwab CRD Kenneth Starr IRS CNBC Complaint ATM Skimming Hacking Phishing Malware Naskovets Poteroba Koval Lincoln Financial Selling Away Outside Business Activities Rakoff 2nd Circuit Second Circuit IRA 401k Forgery Tax Email Netschi Moore Whistleblower Street Sweeper Tran Bharara Facebook Online Severance Bonus Eligibility Rule TD Ameritrade Hedge Fund SAC 1099 Smith Barney Lehman Brothers IC3 Scottrade Lehman JPMorgan Chase Hertz Insider Trading Bank of America Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Diabetes Dow Schumer Walter Bid Rigging Real Estate Discrimination Wall Street Statutory Disqualification Form U4 Form U5 Indictment Boyland DOJ Corruption bill singer FTC Do Not Call FINRA Arbitration Costa Rica Settlement LIBOR Varney Plea Rule 8210 RRBDlaw Appeal Fowler LPL Johnson US Airways Reg D MSSB Vault Loan SunTrust Discovery Employment Rosenthal Recruiting Lawyer Trading Platform JP Morgan Employment Tuesday Wrongful Termination Bank Guarantee WaMu Solicitation REIT Martin Credit Cards Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Moon Merrill Anderson Exam Lee Borrowing Tax Lien Conversion Oppenheimer Wedbush Felony Misdemeanor Expenses ING Lien OTR Estate Jobs Florida Credit Card Elderly Flash Drive Annuity FNMA BrokeAndBroke TIC DWI Promissory Notes Suitability Will POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker Prison NASAA Aguilar FCPA Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank God HSBC Private Placements Eric Stein Wire Fraud CCO Joshua Brown Backstage Wall Street Obstruction of Justice Retaliation Variable Annuity Outside Account Options Telephone Wine Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA MetLife Continuing Education Impersonation Annuities BBVA Business Expenses OIP ETF JOBS Act Mail Fraud Parking Variable Annuities Signatures BitTorrent Wire Transfer Wire Crowdfunding Nasdaq Away Accounts WSP Laptop Dodd Frank Checks PST Solicited Unsolicited Congress SRO Wife Discretion Non-Solicitation Restaurant Commodities Private Securities Transaction Offer of Settlement employment jobs Great Recession Chase Investment Services Barclays Willful Apple Time And Price T&P Husband Letter of Authorization LOA Knight Test Practice Sale Unfair Competition Signature Judgments Undisclosed Settlement Trainee Fee Trust Laser Side Bar Mattera Female Sales Assistant Kennedy Argentina Judgment Bank Fraud TSSB Trustee Frumento 6th Circuit Proctor Beneficiary NYAG Schneiderman Gallagher White Compromise Website Supervision Piwowar Tax Liens signature VA
Email Bill Singer Connect with Bill Singer on Facebook Follow Bill Singer on Twitter Link up with Bill Singer on LinkedIn Join Bill Singer on Google+