Nov 11 | Stockbrokers - New Industry | Everest Merchant Services | New 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 06 | Financial Advisor/Stockbroker | Morgan Wilshire | Garden 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 02 | Stockbroker | Pendulum Capital Markets | Hackensack, 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 11 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required | JPMorgan Chase | Chicago, 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 11 | Stockbrokers - New Industry | Everest Merchant Services | New 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 09 | Business Analyst,Sr.Specialist - Market Regulation | Finra | New 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 09 | Case Assistant I - Dispute Resolution | Finra | New 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 08 | Regulatory Analyst | Finra | New 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 08 | Licensed FINRA Series 6/7 Call Center Rep. | Superior Group | Dallas, 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 07 | HR Associate, HR Relationship Management | Finra | New 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 07 | Regulatory Coordinator, Member Regulation, ROOR | Finra | New 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 07 | Business Analyst, Sr.Specialist - Market Regulation | Finra | New 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 06 | Principal Associate, Brokerage FINRA Principal - New Orleans | Major Diversified Banking Company | Melville, 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 06 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San An | JPMorgan Chase | San 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 06 | Financial Advisor/Stockbroker | Morgan Wilshire | Garden 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 05 | FINRA Legal Extern, Enforcement (UNPAID) | Financial Industry Regulatory Authority | Jericho, 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 02 | Stockbroker | Pendulum Capital Markets | Hackensack, 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 01 | HR Senior Specialist, HR Relationship Management | Finra | Chicago, 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 01 | Compliance/Regulatory Audits & Inquiries/SEC,FINRA | Jersey 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 |
There are times when FINRA gets it right. The self-regulatory-organization conducts a diligent investigation and finds a violation of its rules. There... Read On
With surprising regularity, we have reported about families with a stockbroker, and how such a relationship proves fertile ground for over-reaching or... Read On
Insult Added to Injury in Puerto Rico Bond Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5808/puerto-rico-bond-finra/A public custome... Read On
A public customer filed a FINRA arbitration claim citing nearly $6 million in losses in Puerto Rico municipal bonds. The Claimant took his place on a ... Read On
Another day and another dispute about whether an employment dispute is arbitrable before FINRA. In today's iteration, we got two former employees of a... Read On
So . . . the other day, April 9, 2021, I came across another one of FINRA's urgent, all-important, uber-critical Regulatory Notices. This one was numb... Read On
On April 12, 2021, the New York Stock Exchange ("NYSE") announced that it would be minting its first Non-Fungible Tokens ("NFTs") in order to memorial... Read On