An irreverent Wall Street Blog
by Bill Singer
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Written: February 17, 2013


Visit the BrokeAndBroker 

On Reuters Insider 
the three pilot episodes of 
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


Previous Entries
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
March 24, 2015
On March 24, 2015, the United States Supreme Court issued its Opinion in Omnicare, Inc., Et Al. v. Laborers District Council Construction Industry Pen... Read On
March 24, 2015
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS: Brok... Read On
March 23, 2015
Consumer advocates and regulators tend to dislike so-called "exotic" or "leveraged" Exchange Traded Funds ("ETFs"). Many of the concerns are legitimat... Read On
March 21, 2015
Merrill Lynch Blindsided By Former Employee In Promissory Note CaseThe big boys just don't tend to lose their promissory note cases with any regularit... Read On Job Search

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