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