An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

October 22, 2012

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

Visit the BrokeAndBroker 


Oct 18Financial Advisor - DE/PA Life/Health, FINRAVolt Information SciencesScranton, PA

Financial Advisor - DIRECT HIRE - Scranton, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR STRAIGHT... more

Oct 17FINRA Contract AttorneyLumen LegalSan Antonio, TX

(San Antonio, TX) Lumen Legal is currently working with a Fortune 500 corporate client with an immediate need for a FINRA Attorney to assist the Broker-Dealer Compliance team in... more

Oct 16Regulatory Coordinator - Sales Practice, Member Regulation - NewFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in New York, NY . To be considered for this... more

Oct 16Lead Security EngineerFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Lead Security Engineer opening in Rockville, MD . To be considered for this... more

Oct 16Regulatory Coordinator - Sales Practice, Member RegulationFinraNew York, NY

Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm... more

Oct 16Compliance Examiner - Sales PracticeFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in New York, NY . To be considered for this position,... more

Oct 15Regulatory Coordinator - Member RegulationFinraDallas, TX

Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm... more

Oct 13Compliance Examiner, Member RegulationFinraAtlanta, GA

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Atlanta, GA . To be considered for this position,... more

Oct 12Deputy Regional Chief Counsel - EnforcementFinraDallas, TX

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Deputy Regional Chief Counsel opening in Dallas, Texas . To be considered for... more

Oct 12Risk Analyst, Office of Risk - Washington, DC or New York, NYFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Risk Analyst openings in Washington, DC or New York, NY . To be considered for... more

Oct 12Governance Analyst, Office of the Corporate Secretary - WashingtFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Governance Analyst opening in Washington, DC . To be considered for this... more

Oct 12Advertising AnalystFinraRockville, MD

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

Oct 12Manager III, Communications & Information Management - WashingtoFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Manager of Communications& Information Management opening in Washington, DC . To... more

Oct 12Senior Risk Specialist, Office of Risk - New York, NY or WashingFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Risk Specialist opening in our New York, NY or Washington, DC office. To... more

Oct 12Regulatory Analyst - Market Regulation, Special Reviews - New YoFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in New York, NY . To be considered for this position,... more

Oct 12Regulatory Analyst - Market Regulation, Short Sales - Rockville,FinraRockville, MD

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

Oct 09FINRA Licensed Sales AssistantArjentNew York, NY

Job Description : FINRA Licensed Sales Assistant MUST HAVE SERIES 7 and 63 Licenses Position involves extensive client contact, individual will be involved in all activities that... more

Sep 28Financial Advisor AAAAAA DE/PA Life/Health, FINRAVolt Information SciencesWilliamsport, PA

Financial Advisor - DIRECT HIRE - Williamsport, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR STRAIGHT... more

Sep 28Compliance Examiner - Member RegulationFinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual forfuture Compliance Examiner opportunities in Chicago, IL . To be considered for this... more

Sep 28IS Audit Project Leader II/Auditor IIIFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our IS Auditor III/Audit Project Leader II opening in Rockville, MD . Level offered... more

Sep 24Director, Corporate RecordsFinraGaithersburg, MD

The Director of Corporate Records (DCR) is responsible for senior level oversight of FINRA's Records Management Program. With guidance from the FINRA Records Management Board, the... more

Sep 24Financial Operations ExaminerFinraNew York, NY

FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY. Conducts on-site examinations and assesses Floor member and member... more

Oct 07Stockbroker/Account ExecutiveDMG SecuritiesWashington, DC

Job Description: This sales position entails building and servicing clientele, keeping clients abreast of pertinent market information, maintaining an in-depth understanding of... more

Oct 07Stockbroker TraineeCommerce One FinancialUniondale, NY

applications for a limited number of stockbroker trainee positions. Whether consulting with their clients on how to best manage their funds or informing prospective clients on... more

Oct 04Stockbroker 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

Sep 24Stockbroker TraineeManhattan, NY

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