An irreverent Wall Street Blog
by Bill Singer
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Written: August 13, 2012


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Aug 10Stockbrokers a New IndustryEverest Merchant ServicesNew York, NY

Company Description: Job Description: EMS is one of the largest credit card processing firms in the US and is seeking seasoned, aggressive, dynamic stockbrokers and traders that... more

Aug 08Stockbroker TraineeNew HorizonsNew York, NY

We are looking for hard working, driven individuals who have a passion for Sales and Finance. This is an outstanding opportunity to work in the heart of the Financial District in... more

Aug 07Stockbroker Sr Financial Advisory & Benefits Sales ExecBusiness Services CompanyCherry Hill, NJ

Our client a major international publicly traded financial services and benifits advisory professional services firm needs a C level pro with a track record of success calling on... more

Jul 18Stockbroker TraineeHfp CapitalNew York, NY

Train alongside a twenty year Wall Street Veteran. We offer a true mentoring program. We are a FINRA/SIPC member firm on Park Avenue in Midtown Manhattan seeking recent college... more

Aug 10FINRA Legal Extern (UNPAID), Sales Practice PolicyFinancial Industry Regulatory AuthorityWashington, DC

Title: FINRA Legal Extern (UNPAID), Sales Practice Policy - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. The Financial Industry... more

Aug 10FINRA Extern (UNPAID), Investor EducationFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Investor Education Extern openings in New York, NY. The Externship Program is... more

Aug 10AssociateRobert HalfNew York, NY

Our client, a renowned boutique law firm seeks a securities litigation associate with five plus years of experience. Excellent academics, strong knowledge of FINRA and SEC... more

Aug 10FINRA Legal Extern (UNPAID), Sales Practice PolicyFinraNew York, NY

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) seeks a well-qualified second or third year law student for our Legal Extern,... more

Aug 10FINRA Legal Extern (UNPAID)FinraAtlanta, GA

We Work to Protect Investors. Join our Team. We are seeking well-qualified individuals for our Graduate Legal Externship in our Enforcement Department in Atlanta, GA. This... more

Aug 09Compliance Officer/ManagerRecruitarrowMinneapolis, MN

Job Responsibilities and Requirements: Conduct Branch Office and Office of Supervisory Jurisdiction FINRA required inspections, including Ameriprise Advisor Center, Centralized... more

Aug 09Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San AntonioJPMorgan ChaseTexas

Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San Antonio, TX-120044911 Job Description Customer Service Representative I The Investment... more

Aug 02FINRA LEGAL EXTERN (UNPAID)Georgia Department of LaborAtlanta, GA

REQUIRED Skills/Qualifications Education/Experience Requirements: * Graduate student pursuing JD or LLM. * Securities law-related course work and/or knowledge of securities law or... more

Jul 30Associate, Margin/Reg-T/FINRAMichael Page InternationalNewark, DE

Recruit top talent and build a high performing team Provide real-time and succinct feedback to direct reports and team members Evaluate and implement appropriate controls to... more

Jul 28Financial Advisor - PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesWilliamsport, PA

Financial Advisor - PA Life/Health, FINRA - DIRECT HIRE Posted on:07/27/12 Job Number: 300282-9766-1-305682 Add to Cart Email to a Friend Location: Williamsport, PA Description:... more

Jul 27FINRA Extern (Unpaid) - Office of the OmbudsmanFinancial Industry Regulatory AuthorityRockville, MD

Title: FINRA Extern (Unpaid) - Office of the Ombudsman - Rockville, MD Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking a... more

Jul 27Financial Advisor PA Life/Health, FINRAVolt Information SciencesWilliamsport, PA

Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct... more

Jul 27FINRA Legal Extern (UNPAID)Financial Industry Regulatory AuthorityAtlanta, GA

Title: FINRA Legal Extern (Unpaid) - Atlanta, GA Location: null Other Locations: null We Work to Protect Investors. Join our Team. We are seeking well-qualified individuals for... more

Jul 26FINRA Extern (Unpaid) - Office of the OmbudsmanFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Fall/Winter Extern opening in Rockville, MD. To be considered for this... more

Jul 25Investment Customer Service Rep I - Wealth Mgmt - Broker Service Center - FINRA Series 7 Required - ChicagoJPMorgan ChaseIllinois

Investment Customer Service Rep I - Wealth Mgmt - Broker Service Center - FINRA Series 7 Required - Chicago, IL-120044921 Job Description Chase Investment Services - Customer... more

Jul 25FINRA Arbitration attorneyLa Jolla, CA

Non-profit safety organization, with stipulated donation to regain losses to donor due to E Trade fraud, seeks an attorney. Case has been filed, and is in progress, and in process... more

Jul 24Compliance /Regulatory Audits Analysis/FINRASourceJersey City, NJ

Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Legal Compliance Analyst to join their team. Work for an exciting company within a... more

Jul 22Life Insurance Distribution - FINRA / SEC AttorneyVintage LegalNew York

Employer: Vintage Legal LLC Type: - Senior Attorney NYC Area. Our client is a global financial institution seeking an experienced attorney to provide legal support for...more

Jul 20FINRA Legal Extern (unpaid) - Chicago Equities Surveillance DepartmentFinancial Industry Regulatory AuthorityChicago, IL

Title: FINRA Legal Extern (unpaid) - Chicago Equities Surveillance Department - Chicago, IL Location: null Other Locations: null FINRA is seeking a well qualified individual for... more


Previous Entries
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At first blush, the FINRA AWC discussed in today's Blog seems a commendable effort by FINRA to delve into matters involvi... Read On
March 31, 2015
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March 30, 2015
For 20 years, one registered person timely and fully disclosed her outside business activity to her employer FINRA member firm. Inexplicably, a few ye... Read On
March 28, 2015
FULL TEXT Complaints And Answers in Pao v. Kleiner PerkinsOn March 27, 2015, after a month of trial testimony and three days of deliberations, a Calif... Read On
March 27, 2015
On March 27, 2015, after a month of trial testimony and three days of deliberations, a California Superior Court jury found that Plaintiff Ellen Pao... Read On
March 27, 2015
In today's Blog, we have what I often refer to as a "yes, but" case. I'm sure you have encountered such ambivalence with many matte... Read On
March 26, 2015
Wall Street is supposed to be protected by smoke detectors in the form of endless amounts of rules and regulations, massive volumes of written superv... Read On
March 25, 2015
In 2006, after suffering several miscarriages, UPS driver Peggy Young became pregnant; and, in consideration of her prior pregnancies, her doctor ins... Read On
March 25, 2015
In the great 1967 film "Cool Hand Luke," we get that iconic line about "What we've got here is failure to communicate."  The scene involves the b... Read On Job Search

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