An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 11, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

Visit the BrokeAndBroker 

Watch on Reuters Insider the pilot episodes of "SIDE BAR WITH BILL SINGER," hosted by veteran Wall Street regulatory lawyer Bill Singer.

SIDE BAR WITH BILL SINGER

The Brave And Scary New World of HFT
Featuring Shah Gilani

The SEC's New Bounty Program For Whistleblowers
Featuring Aegis Frumento, Esq.

Is the U.S. the Only Sheriff in Town?
Dodd Frank And the CFTC's New Swap Regulations
Featuring Professor Ronald Filler, Esq.

Jan 17Chief Compliance OfficerT Capital FundingMaitland, FL

This position is for Registered Principal and Chief Compliance Officer of a small Broker-Dealer firm, exclusively involved in Real Estate Securities (limited partner interests). more

Feb 11Regulatory Coordinator, Member RegulationFinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in our Chicago, IL office. To be considered for... more

Feb 11Regulatory Analyst - Market Regulation, Options RegulationFinraNew 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

Feb 11Chase Private Client Banker - Broadway E. - Seattle, WA (FINRALicenses Preferred - 6, 63, CA Life &ChaseSeattle, WA

The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more

Feb 10Chase Private Client Banker - Northeast 8th & 106th, - (FINRA Licenses PreferredChaseBellevue, WA

The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more

Feb 10Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredChaseChicago, IL

Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out... more

Feb 07Regulatory Analyst - Chicago Equities SurveillanceFinraChicago, IL

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

Feb 07Examination Manager - Sales Practice, Member RegulationFinraPhiladelphia, PA

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Examination Manager opening in Philadelphia, PA. To be considered for this... more

Feb 07Enforcement InvestigatorFinraNew York, NY

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

Feb 02Chase Private Client Banker - Broadway E. - (FINRA Licenses PreferredChaseSeattle, WA

The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more

Jan 30Relationship Banker - Crown Valley - (FINRALicenses PreferredChaseLadera Ranch, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 25Advisor Services Relationship Manager - Series 6 FINRA LicenseVolt Workforce SolutionsPhoenix, AZ

Advisor Services Relationship Manager - Financial Services Industry Series 6 Securities (FINRA) License Required Our Client, a Financial Services firm in Phoenix, AZ, is seeking... more

Jan 22Compliance Examiner - Member RegulationFinraFrancisco, IN

Job Summary : Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the... more

Jan 20Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeNew Jersey

Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more

Feb 08FINRA Series 55 Market MakerMerriman CapitalSan Francisco, CA

The active market maker will make and mind markets for small and micro-cap securities related to the firms institutional and corporate client base. The market maker will be... more

Feb 06Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth MgmtJPMorgan ChaseSan Antonio, TX

Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808 Job Number:... more

Feb 01Chase Private Client Banker - Broadway E. - Seattle, WA (FINRA LChaseSeattle, WA

The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more

Jan 31Securites Trader, Operations, FINRA Series 7 and 63Lincoln Investment PlanningCincinnati, OH

1. Processes work assigned through the firms imaging and workflow system to ensure quality and timeliness standards are met. Detailed responsibilities include but are not limited... 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 Guest Blog Guest Blogger BrokerAndBroker U5 OBA Fraud Promissory Note Email U4 Aegis Frumento Merrill Lynch EFL Morgan Stanley Wire Fraud Elderly UBS Defamation CRD Forbes FBI Statutory Disqualification Suitability PST Ponzi Citigroup ALJ Whistleblower Borrowing Rule 3270 DOJ BrokerCheck Supervision BrokeAndBroker Bank Outside Business Activity IRS OIP Felony OHO Supreme Court Willful InSecurities Form U4 NAC Wrongful Termination SDNY Ameriprise Wachovia Expenses Pro Se IRA Mail Fraud Rule 2080 WSP Rule 8210 Insider Trading Wife Discretion Husband Dodd Frank Rule 1122 Forgery Form U5 CCO Checks Conversion Bankruptcy Raymond James NASD Punitive Damages RIA Business Expenses Employment Tuesday Tax Discovery Estate Settlement Rule 3240 Rule 2010 Willfulness Madoff Securities Industry Commentator Rule 3040 Annuities Wall Street Private Securities Transaction Small Firm Frumento LPL Credit Card NYSE JP Morgan Bar Outside Business Activities Indictment Real Estate 2Cir Power of Attorney Edward Jones Commissions Rule 3280 Facebook Promissory Notes Exam Impersonation Margin Insurance Corrective Action Statement Stephen Kohn Bank of America Tax Lien Street Legal Spouse Tax Liens ETF Beneficiary SRO Mortgage ATM Misdemeanor Complaint Case In Point Rule 12206 Injunction Antitrust Test Schwab Trust Offer of Settlement Wire Trump Away Account Barclays Options Appeal OTR Annuity Rule 2510 ARS Schapiro VA Lien CFTC Signature TRO T&P Initial Decision Goldman Sachs POA Employee Forgivable Loan NSF Loan Due Diligence Trustee Spouses Remand Money Laundering PCAOB Securities Fraud Crypto Eligibility Rule Unauthorized Discretion Bonus Deutsche Bank NASAA Liens Signatures Blockchain Conspiracy HFT NASDAQ RBC Fidelity Rule 4530 Mandatory Arbitration E*Trade Chase ACQ Great Recession DCCir Burris Flash Crash Cease And Desist Sanctions Failure to Supervise Stay LOA Motion to Dismiss Credit Cards Undisclosed Settlement Dissent Continuing Education Huffington Post Customer Rule 3010 email Rule 4511 Scottrade Compliance Fiduciary Coronavirus RRBDLAW.com Jurisdiction brokeandbroker Unsuitability Lehman Brothers Registered Rep Magazine MSSB OWB Unfair Competition Deceased Disgorgement Hacker Rule 12200 Willfully Identity Theft Retaliation 9Cir Solicitation Hacking Rule 3050 Variable Annuity Gallagher Disclosure Unauthorized Trading Divorce Bharara Cryptocurrency Broker Protocol Discrimination Bitcoin Reg SP JPMorgan Retirement Spoofing Severance Motion to Vacate Variable Annuities Vacatur Reimbursement Audit Forex Website Annual Compliance Questionnaire employment Explained Decision Board Stockbrokers Sexism Wedbush FINRA Arbitration Malware Apple arbitration Sexist Letter of Authorization Lucia TD Ameritrade FINOP Social Media Self Regulation Prison REIT Net Capital 2nd Circuit Second Circuit 10Cir Postponement Lehman RMBS Solicited jobs Customer Complaint Registration Wey LIBOR Away Accounts Internet Will Elder Abuse BrokeAndBroker Bill Singer Personal Expenses Rule 12805 BOP Bonds Examination Private Placement Trading Platform Charles Schwab Arbitraiton MC-400 Time And Price Brummer RRBDlaw.com FOREX FAA Hilton Weiner Unsolicited Stifel China Statute of Limitations bill singer Rule 2150 Class Action Marijuana Commission Waiver Debit Card Judgments IC3 Rule 3110 Zipper Rule 2111 Confidential Information Manifest Disregard Private Securities Transactions BrokeandBroker Plea Indemnification BrokeAndBroker.com Blog Loans Newman Bureau of Prisons Telephone Hedge Fund MetLife Imposter Check Kiting Joshua Brown FNMA Piwowar Emails CNBC Stifel Nicolaus ADA Dakota Securities Unjust Enrichment JOBS Act PNC Knight Auction Rate Securities Crowdfunding Botkin Lawyer Fees OSHA Compensation CE CPA Cheating Kokesh Sanction Guidelines Rakoff Board of Governors Obstruction of Justice Mutual Funds Credit Suisse Morgan Keegan Motion to Confirm Employment Agreement CRS Testimony NYAG Due Process Widow Bear Stearns WSPs DOL Protocol IPO Suspension Conflict Medicare Banc of America Raiding Stanford EIA CEO Restaurant Sales Assistant Day Trading Charity Article V Reg S-P Bandimere High Frequency Trading OIG Whistleblowing Shah Gilani Passcode Morgan Stanely Ketchum Rule 13200 Tortious Interference Rule 12504 MF Global Elder Fraud Termination PN SAC Check Rule 2081 Regulation SP Public Interest COVID Executor Pennystock Rule 13805 Rule 9552 Bloomberg Puerto Rico Woody Allen Unsuitable Non Solicitation Gold Cannabis Affiliate USERRA Churning Concentration TSSB Appointments Clause Reg D TOD Confidential Aleynikov Confirm Affinity Fraud Khuzami Counterclaim ING Phishing Rosenthal Recruiting Embezzlement Wire Transfer Dementia Customer Information Inability to Pay AML Wine Series 7 Feigenbaum Standing Hurry Charge Oppenheimer Hearing IM Marines Eligibility Vietnam Ethereum Whitman Parking Marine Corps Johnny Burris EDNY Smith Barney Written Supervisory Procedures Pennystocks Guitron Penson ICO Nietzsche BrokeAndBroke Government Accountability Project Yesenia Guitron Linde Murphy Trade Secrets expungement Morgan Stanley Smith Barney Corruption Disability Teleconference Bid Rigging Statutory Disqualification Committee McDuff Outside Account Membership Continuance Moon SunTrust Sharemaster ACH Vault Kon Unregistered TCR Circuit Court Laptop Marketplace Mother Private Placements Mutual Fund Joint Account Chief Compliance Officer Finder\'s Fee Small Firm Governor Casino Form ADV Failure To Supervise NPR Information Leveraged ETF 6th Circuit Rule 2210 HSBC Probate Rule 3030 401k Margin Call Side Bar Medical Condition Consent Order Argentina Federal Reserve Attorneys Fees PAQ 4Cir White 9/11 Slander Ride the Thunder Commodities Fraud Broke And Broker Obstruction Self Regulatory Organization David Sobel SDFL Star Wars Subpoena Deferred Compensation Poteroba Unauthorized Practice of Law Bank Fraud Amazon Corzine Testing Statement of Corrective Action Rule 4513 Layering Online Funds Accounting WB-APP Research Aguilar Congress Chevron Verbal Discretion Reverse Life Insurance Password Christian Stanley ESOP Sarbanes Oxley Google Rule 21F Female Constitution Rule 12904 Thain SD Taft Correctional Institution CGMI Equity Indexed Annuities 401(k) Chase Investment Services Arrest 3Cir Settling Away CD Money Market AXA Dell FINRA AWC S&P Commissioner Stein BrokerAndBroker.com Annual Audit Non-Solicitation Withdrawals Stipulated Award Commodities Rule 9554 Oral Discretion Regulation Sexual Discrimination Puts signature Electronic Communications Third Party Vendor Rory Flynn Wanger TheBlot Fiduciary Duty Administrative Remedies Life Insurance Rule 9216 Scholander Fines RRBDlaw Diversity OWWP Inside Information Rule 1031 Investor Alert Control Person Sexual Harassment SP Rule 2370 TIC Florida Excessive Trading Hospital LLC Privilege OCIE Jennifer Tarr Do Not Call Cold Spring Advisory Group Robert Muh Judgment Selling Away Lincoln Financial YouTube JPM Disciplinary History First Amendment Libel Meals Negligence Stockbroker Stop Loss SIFMA Pruco Outside Accounts Investment Adviser Fowler 17a-5 Scottsdale BrokeAndbroker 40 Act WaMu Red Flags NDCA BATS Schneiderman Elles David Lerner Backstage Wall Street Client Information Non Solicit Texting Death Fine Chiasson Attorneys\' Fees 11th Circuit Beneficiaries Timban 11Cir Data PIABA Motion Kiting FOCUS Talman Harris Saad Department of Justice Escrow Fifth Amendment Elder Law Guest Bloggers CDO BD Taxes Trading Newport Coast Securities VIX VXX Counterfeit Arbitration Moore Hester Peirce Tax Fraud Over Concentration FCI Beaumont Motion to Compel RICO Resignation Turnover FCI Robert Cook 1Cir Lawyers Netschi Test Center Rule 12212 Respondeat Superior IAR Inmate Service Trader God Pension Exhaustion Doctrine Civil Rights Executrix Merrill Johnson US Airways Non-Prosecution Agreement Tipper Municipal Bonds FINRA Small Firm Oilpro Kent Principal Cellphone Newbridge 8210 Microcap JPMorgan Chase Broy Pacifico ALJ Grimes Retired Woman With Cane Tennis Court Malice National Securities Flash Drive Witness Tampering ETFs Deferred Prosecution Agreement Advisor Placement Group Fiero Blank Forms DPA Cherry Picking Production securities industry commentator Currency Tippee Excel Merill Lynch Solomon Leveraged ETFs Quasi Governmental Relevant Disciplinary History Collateral Bar State Actor Last Known Address Retroactive Bar Reasonable Hugh Hewitt RRBDLAW Cryptocurrencies Obama Altered Records AWC. FINRA Lewis Carroll Election Expense Exotic ETF Theft NRSRO Rule 3210 Bartko Dostoevsky QuadrigaCX Self Reporting Rule 420 Molchatsky Honorarium Bezos Work Product Municipal Advisor Restitution Rule 3310 Collateral Retroactive Initials EEOC Reverse Merger House Financial Services Payroll Scam Credit Repair Travel Anderson MSPB Gabelli BBVA FNI Media NYG Capital Disparate Treatment Martin Series 79 Proctor Chase Bank Capital Gains Bank Guarantee Lee Preliminary Determination Series 66 Relevant Non Compete Customer Files Spoliation Capitalism Covid-19 NFA 6Cir Brokeandbroker.com Bill singer Constructive Discharge Prime Bank Bill Singer BrokeAndBroker ADR Undercover SIPC Wells Fargo Advisors AIG Stock Promotion Hertz Sex Rule 12104 Merger Investacorp Checking Guardian Wang Prudential Ethics Books and Records Statute of Limitation Dinner State Farm Financial Disclosure 9th Circuit Mistake 1099 FCPA Subway Finra Rules of Practice Life Settlement Risk Eric Stein CAT FMLA Stipulation Mary Jo White Banks Obamacare Fee Compliance Officer 10b-5 Springsteen McCartney Enforcement GAP Galleon Jon Corzine Undertaking Practice Sale Wages Transfer William Faulkner MDLA Women Bribe Regulation S-P false statements Falsification Texas State Securities Board Powell EDPA Expert Witness Skimming Naskovets Koval Nationwide UIT Orders Securities and Exchange Commission Kennedy Binary Options SEC Rules of Practice Evidence Customers Silver Arbitrator fraud Confidential Customer Information Kenneth Starr Section 206 Age Discrimination ADEA AAA Diamonds NML Copyright Daspin Janney Montgomery Scott Laser Kierkegaard BIll Singer Preet Bharara Wire Transfers Willfull Countrywide Tran Baby Boomers Sharing Agreement Supervisor Trainee Fee iPhone Wires Grievance NY Life Clayton Reason for Termination Lek Martoma Romer Mattera Short Sale Compromise Exception Reports Self Directed Father Compliance Questionnaire Reuters Turbeville In House Counsel FTC FDA Bob Dylan Costa Rica Nasdaq BrokeandBroker.com Conflicts Res Judicata Offset Outside Counsel Traders Lexicon NoCA HBO Confirmation Boyland CMO Books And Records Murray Goble Summary Judgment Personal Information Elon Musk BitTorrent Salman DWI Immunity Liquidation Sears Irreparable Harm Promoter Sterne Agee Varney Fourth Amendment Disney Criminal PHC Mary Schapiro IBM Apartment Liu Impersonator FINRA Board Game of Thrones MBS Fraudulent Inducement Whistleblowers EB-5 Motion To Dismiss Walter Dow Crime Unauthorized Trades Racism Schumer Rule 2330 Legend Coin Diabetes Office of Special Counsel Gifts Stephen A. Kohn Branch Manager Reform Spam Cybercrime Well Managed Portfolio Deceased Customer Berthel Fisher Permanent Bar