An irreverent Wall Street Blog
by Bill Singer
 
Join BrokeAndBroker blog on Facebook  Follow the BrokeAndBroker blog on Twitter  Connect with BrokeAndBroker on LinkedIn  Join Bill Singer on Google+  Subscribe to RSS Feed

EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: 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


 
[^top^]

Previous Entries
October 22, 2014
FINRA has this thing about registered representatives engaging in so-called "Outside Business Activities" ("OBA"). Frankly, I don't agree with certain... Read On
October 21, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
October 20, 2014
Once upon a time, Wall Street's regulators seemed to view so-called "Failure To Supervise" matters as a last resort -- the final arrow in a quiver. &n... Read On
October 18, 2014
Athena No Goddess Says SEC in HFT SettlementOctober 17, 2014In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:0... Read On
October 17, 2014
In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, whi... Read On
October 17, 2014
Securities and Exchange Commission ("SEC") Commissioner Michael S. Piwowar and his often like-minded colleague, Commissioner Daniel Gallagher, are the... Read On
October 16, 2014
On October 15, 2014, the Securities and Exchange Commission (“SEC”) filed an Order Instituting an Administrative Proceeding (“OIP”) against “Complianc... Read On
October 15, 2014
You should be thrilled to learn that the venerable Lloyds & Associates Management Ltd. is involved in this deal that I’m going to pitch to you. Yo... Read On
BrokeAndBroker.com Job Search
Related Topics
Tag Cloud
Internet FINRA Bear Stearns Bloomberg SEC NASD NYSE Money Laundering Due Diligence Waiver Forbes China Chepucavage Broy Woody Allen Madoff NAC NPR Marketplace Stanford UBS Ketchum Antitrust NASDAQ RRBDLAW Schapiro Bill Singer BrokerAndBroker USERRA Brokeandbroker.com Morgan Keegan Arbitration Counterclaim BrokeAndBroker.com Khuzami BrokeAndBroker Aleynikov Goldman Sachs brokeandbroker Promissory Note U4 Bill SInger EFL CFTC Huffington Post Flash Crash arbitration RBC RRBDLAW.com Ponzi Affinity Fraud Wachovia Raymond James BrokeandBroker.com Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX BrokerAndBroker.com FBI Banc of America Pro Se Supreme Court Morgan Stanley Smith Barney E*Trade Margin email Galleon Penson U5 Defamation Protocol Wells Fargo Punitive Damages Citigroup Merrill Lynch ARS Employee Forgivable Loan Street Legal Morgan Stanley AWC Fidelity Bankruptcy Broke And Broker HFT David Sobel Day Trading Ameriprise Commissions Spouse Schwab Commission CRD Kenneth Starr IRS CNBC Complaint ATM Skimming Hacking Phishing Malware Naskovets Poteroba Koval Lincoln Financial Selling Away Outside Business Activities Rakoff 2nd Circuit Second Circuit IRA 401k Forgery Tax RRBDlaw.com Email Netschi Moore Whistleblower Street Sweeper Tran Bharara Facebook Online Severance Bonus Eligibility Rule TD Ameritrade Hedge Fund SAC 1099 Smith Barney Lehman Brothers SIPC IC3 Scottrade Lehman JPMorgan Chase Hertz Insider Trading Bank of America Department of Justice Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Diabetes Dow Schumer Walter Bid Rigging Real Estate Discrimination Wall Street Statutory Disqualification Form U4 Form U5 Indictment Boyland DOJ Corruption bill singer FTC Do Not Call FINRA Arbitration Costa Rica Settlement LIBOR Varney Plea Rule 8210 Eligibility RRBDlaw Appeal Fowler LPL Johnson US Airways Reg D MSSB Vault Loan SunTrust Discovery Employment Rosenthal Recruiting Lawyer Trading Platform JP Morgan Employment Tuesday Wrongful Termination Bank Guarantee WaMu Solicitation REIT Martin Credit Cards Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Moon Merrill Anderson Exam Lee Borrowing Tax Lien Conversion Oppenheimer Wedbush Felony Misdemeanor Expenses ING Lien OTR Estate Jobs Florida Credit Card Elderly Flash Drive Annuity Expense Reimbursement FNMA BrokeAndBroke TIC DWI Promissory Notes Suitability Will POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker RIA Prison Disclosure NASAA Aguilar FCPA Subway Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank Hospital God HSBC Private Placements Eric Stein Wire Fraud CCO Joshua Brown Backstage Wall Street Obstruction of Justice Reuters Retaliation Variable Annuity Arbitraiton Outside Account Options Telephone Wine Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA MetLife Continuing Education OIP Tax Liens Willful CE Unregistered Impersonation Annuities BBVA Business Expenses ETF JOBS Act Mail Fraud Parking Variable Annuities Signatures BitTorrent Impersonator Wire Transfer Wire Crowdfunding Nasdaq Away Accounts WSP Laptop Dodd Frank Checks RMBS AML PST Solicited Unsolicited Congress SRO Wife Discretion Non-Solicitation Restaurant Commodities Private Securities Transaction Offer of Settlement Money Market employment jobs Great Recession Chase Investment Services Arrest Barclays Liens Failure To Supervise Apple Time And Price T&P Willfully Husband Letter of Authorization LOA Sexism Debit Card Knight Test Practice Sale Unfair Competition Signature Judgments Undisclosed Settlement Trainee Fee Trust Laser Side Bar Mattera Female Sales Assistant Kennedy Charge Sexist NML Argentina Embezzlement Silver Judgment Bank Fraud Deceased TSSB Mary Jo White Trustee Motion To Dismiss Frumento Conspiracy 6th Circuit Proctor Rule 3040 Class Action Beneficiary NYAG Schneiderman Gallagher White Self Regulation Short Sale Compromise Website TRO Supervision Vacatur SDNY BrokeAndBroker Bill Singer Piwowar Rule 1122 Article V signature Inside Information VA Regulation SP Customer Rule 3270 OWB Stockbrokers
 
Email Bill Singer Connect with Bill Singer on Facebook Follow Bill Singer on Twitter Link up with Bill Singer on LinkedIn Join Bill Singer on Google+