An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY @ BrokeAndBroker.com

July 9, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
Stockbroker, Compliance, Legal, and Regulatory Jobs

Visit the BrokeAndBroker 

If you are an employer seeking job candidates, BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: stockbrokers, advisors, lawyers, regulators, compliance officers, and back-office staff.
  
Click POST A JOB and your position will be promptly listed.  
$25 for 30 days!

Jul 06Regulatory Analyst - OFDMI - Insider TradingFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst - Insider Trading opening in Rockville, MD. To be... more

Jul 04Finra Specialist Job Id: 20130207ScottradeSt Louis, MO

FINRA Specialist Job ID: 20130207-7503 Description: The main purpose of this position is to process associate data changes related to licensing and FINRA and to administer the... more

Jul 03Chief Counsel, EnforcementFinraNew York, NY

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

Jul 03Risk Analyst, Member Regulation, Shared ServicesFinraNew York, NY

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

Jul 03Regulatory Analyst - Market Regulation, Trading AnalysisFinraRockville, MD

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

Jul 03FINRA Specialist JobScottradeSt Louis, MO

Job ID: 20130207-7503 Description: The main purpose of this position is to process associate data changes related to licensing and FINRA and to administer the FINRA registration... more

Jul 03Compliance Examiner - Sales PracticeFinraJericho, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Jericho, NY . To be considered for this position,... more

Jul 02Senior Vice President & Regional Director, Member Regulation, Sales PracticeFinraBoca Raton, FL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Vice President and Regional Director opening in Boca Raton, FL . To be... more

Jul 05Financial 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

Jul 05StockbrokerEdward JonesVisalia, CA

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