An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 12, 2013

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


Visit the BrokeAndBroker 

NOTICE TO EMPLOYERS: 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!

Nov 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

Nov 06Financial 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

Nov 02StockbrokerPendulum Capital MarketsHackensack, NJ

Pendulum Capital is a full service firm with a high energy environment that will support you in growing your business and a team if you so desire. Restaurants and gym facilities... more

Nov 11Investment 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: 130090132... more

Nov 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

Nov 09Business Analyst,Sr.Specialist - Market RegulationFinraNew York, NY

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

Nov 09Case Assistant I - Dispute ResolutionFinraNew York, NY

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

Nov 08Regulatory AnalystFinraNew York, NY

We are seeking a well qualified individual for our Regulatory Analyst, Member Trading opening in New York, NY. To be considered for this position, please submit your resume... more

Nov 08Licensed FINRA Series 6/7 Call Center Rep.Superior GroupDallas, TX

Superior Group is currently searching for two Call Center Representative for our insurance client north of Downtown Dallas 75206. The individuals selected Must hold an ACTIVE... more

Nov 07HR Associate, HR Relationship ManagementFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our HR Associate opening in New York, NY. To be... more

Nov 07Regulatory Coordinator, Member Regulation, ROORFinraNew York, NY

ESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Coordinator opening in New York, NY. To... more

Nov 07Business Analyst, Sr.Specialist - Market RegulationFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Business Analyst, Senior Specialist opening in New... more

Nov 06Principal Associate, Brokerage FINRA Principal - New OrleansMajor Diversified Banking CompanyMelville, NY

Summary: Participate in the approval process for brokerage, annuity and life insurance trades. Apply consistency in decision making, thorough review of account paperwork and... more

Nov 06Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San AnJPMorgan ChaseSan Antonio, TX

Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808... more

Nov 06Financial 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

Nov 05FINRA 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

Nov 02StockbrokerPendulum Capital MarketsHackensack, NJ

Pendulum Capital is a full service firm with a high energy environment that will support you in growing your business and a team if you so desire. Restaurants and gym facilities... more

Nov 01HR Senior Specialist, HR Relationship ManagementFinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our HR Senior Specialist opening in Chicago, IL . To be considered for this position,... more

Nov 01Compliance/Regulatory Audits & Inquiries/SEC,FINRAJersey City, NJ

Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Compliance - Regulatory Audits & Inquiries - Consultant to join their team. Work for an... 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 OBA Fraud Promissory Note U5 U4 Email Wire Fraud UBS Forbes Merrill Lynch Elderly FBI Morgan Stanley Statutory Disqualification EFL PST Defamation Suitability ALJ Citigroup Borrowing Ponzi CRD Rule 3270 BrokerCheck Outside Business Activity OIP Whistleblower Supervision IRS Form U4 Wachovia Bank Willful Felony DOJ Wrongful Termination Guest Blog Supreme Court Mail Fraud NAC SDNY Expenses BrokerAndBroker Insider Trading CCO Ameriprise Discretion Pro Se Checks Employment Tuesday Form U5 Madoff IRA Conversion Raymond James OHO Punitive Damages WSP Bankruptcy Rule 3240 Rule 3040 Credit Card Willfulness NASD Rule 2080 Forgery Wife Discovery Guest Blogger Private Securities Transaction Tax Dodd Frank Rule 8210 Rule 1122 Rule 2010 RIA Husband Real Estate JP Morgan Settlement Indictment Outside Business Activities Estate Commissions Exam Wall Street Street Legal Power of Attorney LPL Business Expenses Tax Lien NYSE ATM Facebook Impersonation Annuities Edward Jones Small Firm Bank of America Corrective Action Statement Case In Point 2Cir Antitrust Stephen Kohn Bar Rule 3280 Mortgage Appeal Schapiro Tax Liens Margin SRO BrokeAndBroker Wire Test Employee Forgivable Loan Offer of Settlement Spouse Schwab ARS Frumento Complaint NSF Beneficiary Trust Goldman Sachs Rule 2510 HFT Securities Fraud Signatures Conspiracy ETF Misdemeanor Trustee NASAA Promissory Notes Cease And Desist Due Diligence T&P Injunction Chase Initial Decision Signature Flash Crash Lien PCAOB RBC VA Loan Fidelity LOA Annuity POA Money Laundering Credit Cards Away Account Unauthorized Discretion Deutsche Bank CFTC NASDAQ Huffington Post DCCir Barclays Registered Rep Magazine Gallagher Burris Identity Theft Spouses Mandatory Arbitration Compliance Hacker Failure to Supervise OTR Stay Liens Unfair Competition email Continuing Education RRBDLAW.com MSSB Remand Bharara Bonus Scottrade Lehman Brothers Variable Annuity E*Trade Options Wedbush Rule 3010 FINRA Arbitration Forex Solicitation Audit JPMorgan Letter of Authorization Malware employment Eligibility Rule Undisclosed Settlement Great Recession Insurance Stockbrokers Annual Compliance Questionnaire Fiduciary Rule 12206 Customer Complaint Will Aegis Frumento 2nd Circuit Second Circuit brokeandbroker arbitration Registration jobs Website TRO Retirement Wey FINOP Disclosure Prison Social Media Rule 12805 Customer Rule 3050 Hacking LIBOR Solicited Away Accounts Net Capital Apple RRBDlaw.com IC3 Reg SP Dissent Unsuitability Unauthorized Trading Private Securities Transactions Internet Reimbursement Time And Price BrokeandBroker Broker Protocol Rule 4511 Willfully Bureau of Prisons China RMBS OWB Motion to Dismiss BrokeAndBroker Bill Singer Lehman Plea Newman Trading Platform 10Cir Judgments Private Placement Unsolicited Sanctions BOP Rule 4530 FOREX Zipper Telephone Brummer Self Regulation Personal Expenses Crowdfunding Commission Explained Decision Obstruction of Justice Divorce MC-400 Auction Rate Securities Arbitraiton Examination Cheating Knight Rule 2111 Confidential Information Deceased Variable Annuities Stifel MetLife WSPs Lucia FNMA NYAG Piwowar Disgorgement Protocol ADA DOL Dakota Securities REIT Hedge Fund Rule 12200 Check Kiting Rakoff Spoofing Joshua Brown Khuzami Conflict Aleynikov Executor Stifel Nicolaus Article V Bandimere JOBS Act Regulation SP Morgan Keegan Churning Hurry Debit Card Compensation Vacatur Wire Transfer SAC Wine Jurisdiction Phishing EIA Retaliation Fees Postponement PNC Confidential Affinity Fraud Stanford OSHA Botkin OIG Rule 2081 PN 9Cir Lawyer IPO Rule 2150 Emails Passcode bill singer Sanction Guidelines Indemnification Banc of America Appointments Clause Ketchum Shah Gilani Woody Allen MF Global Discrimination Waiver Sexist Medicare Due Process Board Raiding Charge Bonds Class Action High Frequency Trading Reg D Affiliate Gold Hilton Weiner Oppenheimer CE Unregistered Hearing Rosenthal Recruiting Bloomberg Eligibility Statutory Disqualification Committee Small Firm Governor Disability Parking Bear Stearns Charity Vault Termination Imposter SunTrust Consent Order Corruption Elder Abuse Rule 3110 Kon Securities Industry Commentator Pennystocks Loans Guitron Aguilar Testimony ACQ Puerto Rico Marketplace Deferred Compensation Corzine Customer Information NPR Check Teleconference Rule 13805 Mutual Fund Pennystock Private Placements Testing Chief Compliance Officer HSBC Reg S-P Ride the Thunder Series 7 Johnny Burris TD Ameritrade Yesenia Guitron Confirm Marijuana Rule 3030 ING Dementia Government Accountability Project Whitman Marines Smith Barney Vietnam Marine Corps Bid Rigging Concentration Casino USERRA Written Supervisory Procedures Online Bank Fraud Failure To Supervise Sales Assistant 6th Circuit Side Bar Accounting Sexism Membership Continuance Unjust Enrichment Penson Restaurant Poteroba Mutual Funds Morgan Stanely Day Trading Statute of Limitations Whistleblowing Widow AML White Morgan Stanley Smith Barney Self Regulatory Organization Embezzlement 401k CEO McDuff Laptop Statement of Corrective Action Charles Schwab Commodities Fraud Finder\'s Fee Information Suspension Employment Agreement David Sobel TSSB Argentina SP Inability to Pay Mother Broke And Broker ACH Fine Medical Condition Star Wars PAQ Margin Call Stipulated Award Credit Suisse Tortious Interference Trade Secrets Backstage Wall Street Layering Department of Justice Scholander BrokerAndBroker.com Unauthorized Practice of Law Hospital Female Guest Bloggers Red Flags Robert Cook Elles TheBlot Kiting Taft Correctional Institution Fifth Amendment Commissioner Stein 401(k) Christian Stanley Moon Motion to Vacate Reverse Life Insurance Do Not Call CGMI CPA WaMu Fowler RRBDlaw Sexual Harassment Verbal Discretion BrokeAndBroker.com Blog Stockbroker Rule 9216 Negligence Investment Adviser FINRA AWC Leveraged ETF BD Inside Information Chiasson 11th Circuit Research Counterfeit Stop Loss Thain Judgment Over Concentration CRS Unsuitable FCI Florida Schneiderman FCI Beaumont OCIE TOD OWWP TIC Investor Alert Dell Chase Investment Services Inmate Netschi Motion Rule 2210 Moore Probate Tax Fraud CNBC Non-Solicitation 40 Act Timban signature Lincoln Financial Client Information Scottsdale Congress Federal Reserve Severance Rule 2370 IAR Form ADV 4Cir Oral Discretion Circuit Court Rule 1031 Administrative Remedies expungement Arrest Counterclaim Settling Away Commodities BATS Equity Indexed Annuities Feigenbaum Outside Accounts FOCUS Sharemaster Outside Account Third Party Vendor Board of Governors Fiero Merrill GAP BrokeAndBroke Death Public Interest Password Lee Fines Retired Woman With Cane ADR Bartko NRSRO Anderson Tennis Court Regulation S-P Attorneys\' Fees S&P Wanger Permanent Bar Rule 12504 Constitution Compliance Officer Non Solicitation Rule 9552 BBVA Solomon Mary Jo White CMO Rule 420 Expense Motion To Dismiss Quasi Governmental Sharing Agreement Rules of Practice Payroll Falsification Enforcement Flash Drive Chase Bank Theft Withdrawals JPM Initials US Airways Turbeville Johnson Cellphone Impersonator Excessive Trading Scam Rule 4513 Reverse Merger Tipper BrokeAndbroker Taxes Altered Records FINRA Board Office of Special Counsel Lewis Carroll Bill singer Nasdaq Obstruction PIABA David Lerner Conflicts 8210 Molchatsky Executrix 1Cir Grievance Proctor DWI TCR Credit Repair Martin Goble Gabelli Advisor Placement Group Constructive Discharge false statements FMLA Fourth Amendment Customers MBS Blank Forms Disparate Treatment Customer Files Salman BitTorrent Tippee Liquidation Pruco Cybercrime Bank Guarantee Willfull Electronic Communications Resignation Service Elder Law Mattera Oilpro Compromise Undertaking Eric Stein Cherry Picking Wells Fargo Advisors Wires Laser Lek Attorneys Fees AXA Wire Transfers Branch Manager Kennedy Immunity CDO Stephen A. Kohn Short Sale Promoter Exhaustion Doctrine Jennifer Tarr God McCartney Cold Spring Advisory Group LLC Springsteen Manifest Disregard Relevant Undercover Dinner Outside Counsel Reason for Termination Collateral Summary Judgment Escrow Reuters Chevron Annual Audit Newport Coast Securities 17a-5 Practice Sale Leveraged ETFs Test Center Financial Disclosure Trainee Fee iPhone Wages Trader Supervisor In House Counsel Expert Witness Nationwide Data Privilege Excel Apartment Books and Records NYG Capital Father Trading Jon Corzine Fee BIll Singer Compliance Questionnaire Checking Texting FNI Media Spoliation Janney Montgomery Scott Martoma Retroactive EDNY FINRA Small Firm Hugh Hewitt FDA Municipal Advisor Stock Promotion Merger Bill Singer BrokeAndBroker Books And Records AWC. FINRA Retroactive Bar Collateral Bar Puts Subpoena Google FCPA Prime Bank Cannabis Obamacare Fiduciary Duty Disciplinary History Subway Pension Elder Fraud Pacifico Non-Prosecution Agreement Joint Account CD NML Currency SEC Rules of Practice AAA Preet Bharara Merill Lynch SD Sexual Discrimination Texas State Securities Board Rule 13200 Risk Silver Evidence Money Market Kent 1099 Standing RRBDLAW Rory Flynn MSPB Sex Reform FTC 9/11 Mistake VXX Diabetes Varney Dow Schumer Walter Regulation SIFMA Bribe Costa Rica Finra Mary Schapiro Naskovets Hertz Criminal Koval AIG Personal Information Skimming Selling Away Nietzsche Kenneth Starr Murray SIPC Turnover BrokeandBroker.com Galleon Brokeandbroker.com 9th Circuit Tran Securities and Exchange Commission House Financial Services Newbridge Baby Boomers Statute of Limitation Countrywide Ethics NFA Spam Broy Lawyers Boyland