An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

December 10, 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!

Dec 07Financial 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

Dec 06Stockbrokers - 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

Dec 05StockbrokerScottsdale Capital AdvisorsParadise, AZ

Stockbroker (Scottsdale) Scottsdale Capital Advisors is a well established and growing broker-dealer located in Scottsdale, AZ. We are seeking an outgoing, energetic, highly... more

Dec 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

Dec 05Manager - Market Regulation, MMI/Trading AnalysisFinraRockville, MD

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

Dec 03Associate Tester I - New York, NY - Contractor ConversionFinraNew York, NY

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

Dec 03Economic Research Analyst - WashingtonFinraWashington D.c., DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Economic Research Analyst opening in Washington, DC . To be considered for this... more

Dec 03Program Senior Director, Shared Services - New York, NY (Contractor Conversion)FinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: Job Summary: The Project/Program Senior Director will support all activities related to Program Management Office. Full lifecycle management includes... more

Dec 07Graduate Intern - Market Regulation, LegalFinraNew York, NY

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 07Grad/Undergraduate Intern - Market Regulation, OptionsFinraNew York, NY

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 07Grad/Undergraduate Intern - Market Regulation, TMMSFinraNew York, NY

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 07Staff Desktop EngineerFinraRockville, MD

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

Dec 07Grad/Undergraduate Intern - Market Regulation, Quality of MarketsFinraRockville, MD

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 07SUMMER STUDENT Undergraduate/Graduate Intern - Member Regulation, Sales PracticeFinraChicago, IL

FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the securities industry with an employer that places a high value on the... more

Dec 07Financial 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

Dec 06Manager Market Regulation, MMI/Trading Analysis | Finance & InvestmentFinraRockville, MD

Essential Job Functions: Takes leadership role by providing input to senior managers in identifying and anticipating regulatory issues that impact the role and responsibilities of... more

Dec 06Stockbrokers - 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

Dec 05Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredChaseChicago, IL

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and operations... more

Dec 05Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio, TJPMorgan ChaseSan Antonio, TX

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

Dec 05StockbrokerScottsdale Capital AdvisorsParadise, AZ

Stockbroker (Scottsdale) Scottsdale Capital Advisors is a well established and growing broker-dealer located in Scottsdale, AZ. We are seeking an outgoing, energetic, highly... more

Dec 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

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