An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

September 3, 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.  
Only $25 for 30 days!
Sep 02Stockbrokers - 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

Aug 28Branch StockbrokerTraineeScottradeBoynton Beach, FL

Branch Stockbroker Trainee - Boynton Beach, FL Job ID: 20130908-7681 Description: Scottrade, Inc.has a Investment Consultant Traineeposition available inBoynton Beach.The main... more

Aug 23Stockbroker Trainee PositionMidtown Manhattan Brokerage FirmNew York, NY

seeks qualified candidate for a full time Stockbroker Trainee Position. Full training ... with an immediate start date -Retail sales training to become a Fully Licensed...more

Aug 21Stockbroker, 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

Aug 21Hedge 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

Sep 02Stockbrokers - 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

Aug 30Surveillance Analyst (Excel & FINRA Series 7 required)ChartisinsuranceAtlanta, GA

Position Description The Surveillance Analyst of the Advisor Group will be responsible for completing Field Advisor and product reviews. This position reports to the... more

Aug 30HR Associate, StrategyFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our HR Associate, Strategy opening in Rockville, MD . To be considered for this... more

Aug 28Branch StockbrokerTraineeScottradeBoynton Beach, FL

Branch Stockbroker Trainee - Boynton Beach, FL Job ID: 20130908-7681 Description: Scottrade, Inc.has a Investment Consultant Traineeposition available inBoynton Beach.The main... more

Aug 28Surveillance Analyst (Excel and FINRA Series 7 required)American International GroupAtlanta, GA

Surveillance Analyst (Excel & FINRA Series 7 required) Job ID #: 87401 Employment Type: Full Time - Permanent Location: GA-Atlanta Education Preferred: Bachelors Degree (or... more

Aug 27FINRA 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

Aug 26Legal Assistant with FINRAExperienceKelly ServicesNew York, NY

Broker-dealer seeks a Legal Assistant for an immediate part time temporary position in its Manhattan offices. Qualified candidates will have strong experience with the FINRA... more

Aug 26Legal Assistant - FINRAexperienceKelly ServicesNew York, NY

Qualified Legal Assistants must have strong experience with the FINRA Gateway system and be able to submit filings, run reports and work in that system independent of additional... more

Aug 25FINRA Legal Extern, Enforcement (UNPAID)Financial Industry Regulatory AuthorityJericho, NY

Title: FINRA Legal Extern, Enforcement (UNPAID) - Jericho, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified... more

Aug 24FINRA Extern (Unpaid)Financial Industry Regulatory AuthorityWoodbridge, NJ

Title: FINRA Extern (Unpaid) - Woodbridge, NJ Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our... more

Aug 23Stockbroker Trainee PositionMidtown Manhattan Brokerage FirmNew York, NY

Lower Midtown Manhattan boutique brokerage firm seeks qualified candidate for a full time Stockbroker Trainee Position. Full training and sponsorship for Series 7 & 63 exams. You... more

Aug 21Stockbroker, 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

Aug 21Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial AdvisorNociPalm Beach, FL

Hedge 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

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

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