An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 17, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

Visit the BrokeAndBroker 

On Reuters Insider 
the three pilot episodes of 
"SIDE BAR WITH BILL SINGER," 
hosted by veteran Wall Street regulatory lawyer 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.


Feb 16Financial Consultant /Stockbroker / Account ExecutiveMiami, FL

We are a new, well capitalized broker-dealer on Brickell Avenue in Miami seeking experienced retail and institutional Financial Consultants to sell all types of securities... more

Feb 11Stockbrokers New IndustryEverest Merchant ServicesNew York, NY

EMS is one of the largest credit card processing firms in the US and is seeking seasoned, aggressive, dynamic stockbrokers and traders that are looking to regain the financial... more

Feb 07Stockbroker Trainee - Training providedFinancial Services FirmNew York, NY

We are looking for driven individuals who have an interest in pursuing a career in Financial Services. We are one of the fastest growing firms on Wall Street and are in the... more

Feb 18Undergraduate/Graduate Intern - Diversity/TrainingFinraRockville, MD

We Work to Protect Investors. Join our Team. 2013 Summer Internship Program FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the... more

Feb 18FINRA or SEC regulatory compliance (several positions)Robert WaltersNew York, NY

Our client, a London-based management consulting firm, is seeking a number of Compliance Officers with FINRA or SEC regulatory expertise to join their New York office. They are... more

Feb 17Relationship Banker - Crown Valley - Ladera Ranch, CA (FINRA Licenses Preferred - 6, 63, CA Life & HLadera Ranch, CA

Title: Relationship Banker - Crown Valley - Ladera Ranch, CA (FINRA Licenses Preferred - 6, 63, CA Life & Health) Location: US-CA-Ladera Ranch-WM6963 Ladera Ranch / 44552 Job... more

Feb 15FINRA Legal Extern (unpaid) - Member RegulationFinraLos Angeles, CA

The Financial Industry Regulatory Authority (FINRA) is currently seeking law students for our 2012 Fall Externship Program in Los Angeles, CA. The Department of Member Regulation... more

Feb 13Chief Compliance OfficerFinra Member 'high-net Worth' Retail, IndividualNew York, NY

Summary The CCO is responsible for the overall regulatory oversight of the Company day to day operations, as well as the regulatory oversight of Sales, Trading, Investment Banking... 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 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 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 07SEC & FINRA Specialists (Associate & Director level) - Must be located in USAKinetic PartnersNew York, NY

Job Description *Direct applications only no agents* ***Please be advised that you MUST have SEC and/or FINRA experience to apply***. Please include your CV and cover letter... more

Feb 06Investment 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-130008431 Job Description Chase is a leader in the financial services industry,... more

Feb 06Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredJPMorgan ChaseChicago, IL

Title: Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL Location: US-IL-Chicago-300 South Riverside / 10574 Job Number: 130008435... 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 06Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - ChicagoJPMorgan ChaseIllinois

Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-130008435 Job Description Chase is a leader in the financial services... 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

Feb 19StockbrokerCareers For Diverse Men & WomenSanta Barbara, CA

StockbrokerLocation Santa BarbaraCAJob ID 9595Edward Jones provides exceptional opportunities for experienced financial advisorsbrokers or proven performers from other careers... more

Feb 16Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial AdvisorNociPalm Beach, FL

Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial Advisor Need Experienced Hedge Fund or Private Equity Capital Raiser looking to make the transition into 3d... more

Feb 16Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth AdviserNociHartford, CT

Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth Adviser Need Experienced Hedge Fund or Private Equity Capital Raiser looking to make the transition into 3d...more

Feb 13Entry Level StockbrokerGreenwich Point Wealth ManagementGreenwich, CT

Entry Level Stockbroker opportunity Considering a career in finance? We are currently hiring for our broker trainee program in the Greenwich, CT office. The Broker Trainee... more

Feb 12Stockbrokers/Capital RaisingPacific Pearl GroupWest Palm Beach, FL

Title: Stockbrokers/Financial Advisers/Capital Raising w Series 7/63/Trainee Location: Downtown West Palm Beach, FL Fast Growing Boutique FINRA Brokerage Firm is expanding and... more

Feb 11Service CenterStockbroker - Financial ServicesWeb Recruiter Staffing DivisionNorth Las Vegas, NV

is seeking a full-time Service Center Stockbroker for the North Las Vegas, NV area. Web Recruiter seeks someone who can perform the following primary roles and responsibilities:... more

Feb 11Sales Representative - Sales Professional - InsuranceInsphere Insurance SolutionsManassas, VA

ortunity, business development, sales representatives, building business, pharmaceutical sales, financial advisor, financial consultant, stockbroker, advertising sales,... more

Feb 08Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We facilitate secure,... more

Jan 31Financial Advisor/StockbrokerMorgan WilshireGarden City, NY

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