An irreverent Wall Street Blog
by Bill Singer

Wine Fraud At the Auction House. EMPLOYMENT TUESDAY at BrokeAndBroker

March 12, 2012


Here's something that I bet you didn't know.  Before Bill Singer became a lawyer in 1985 he was the third generation of his family in the wine business.  Which may explain his fascination with a developing wine fraud criminal case that involves the high-flying auction world, rare Burgundies, artworks, and a whole lot of allegations about double dipping and flim flam.  READ Bill's "Street Sweeper" column today at Forbes.

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

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Mar 12Financial Consultant II Tri Parish JobCapital OneHouma, LA

including but not limited to those of FINRA, the SEC and state insurance ... or equivalent Preferred Qualifications: - FINRA Series 7, 63 - State-approved Life and...more

Mar 12401(k) District ManagerADPCulver City, CA

1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, ... Strong track Required licensing: FINRA Series 6 and 63. Strong organization,...more

Mar 12Licensed Financial Sales Consultant - Cook/DeKalb/DuPage/KanePNCNaperville, IL

* FINRA Series 6 & 63 (or 7 and 66) licenses required * Life/Health Insurance required * Proven track record in sales production and a strong desire to succeed * Excellent...more

Mar 12VP, Business Unit Representative and Head of Regional Desk-Based SupervisionResponseNew York, NY

Government Securities Commissions, FSA, FINRA, SEC, OSFI and MSRB Coordinate change management process within the U.S. trading region by acting as a resource to Trading businesses... more

Mar 11Broker Dealer Compliance DirectorAccess StaffingNew York, NY

and registration activities, including FINRA and state securities registration and ... compliance, including FINRA rules and regulations, compliance... more

Mar 11Broker Dealer Compliance Director - MMNPAsset Management FirmHoboken, NJ

and registration activities, including FINRA and state securities registration and ... Strong knowledge of securities/broker-dealer compliance, including FINRA rules and regula... more

Mar 11Manager - Pre-Appointment (Ameriprise Advisor Center) JobAmeripriseLas Vegas, NV

to multi-task. Preferred Qualifications - FINRA Series 66 and State Insurance License. ... Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services... more

Mar 11Sr. Project Manager, TechnologyLpl FinancialSan Diego, CA

a securities regulator such as the S.E.C. or FINRA; and a minimum of 5 years project ... systems; and Working knowledge of S.E.C., FINRA, NFA, CFTC, and MSRB rules.more

Mar 11Exclusive Insurance Agent Business OpportunityHorace MannDanbury, CT

Horace Mann Investors, Inc., Member FINRA, 1 Horace Mann Plaza, Springfield, IL 62715 • 800-999-1030 Horace Mann is an Equal Opportunity Company Is the Horace Mann Exclusive Agent... more

Mar 11Financial RepresentativeNorthwestern MutualPhiladelphia, PA

Training & Mentoring Program State and FINRA Licensing Paid for by the Company Contact: Blair Holubec Recruiter P: (215) 981-1320 F: (215) 563-2750 1818 Market Street, Suite 3010... more

Mar 10Compliance Examiner - Market Regulation, Trading and Market Making SurveillanceFinraNew York, NY

to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more

Mar 10Relationship Associate IIBank of OklahomaOklahoma City, OK

Bachelors degree or 3+ years of experience. FINRA Series 7, 63, 65, 66 securities licenses may be required. * Thorough knowledge and understanding of brokered and managed... more

Mar 10Financial Advisor - New Advisor Program JobAmeripriseOverland Park, KS

Maintain all appropriate FINRA/other licenses and requirements up to date ... prioritization. - Ability to obtain required FINRA licenses within 90-120 day. JCODE:...more

Mar 09Finance Tutor/TeacherWyzant TutoringRedding, CT

I am looking for a tutor for the FINRA Session 201 (OSJ's). finance Tutoring & Teaching opportunities available in Redding, CT starting at $25-$50/hr. more

Mar 09Accounting Tutoring/TeachingWyzant TutoringRedding, CT

I am looking for a tutor for the FINRA Session 201 (OSJ's). accounting Tutoring & Teaching opportunities available in Redding, CT starting at $25-$50/hr. more

Mar 09PNC Investments Territory Supervisory ManagerPNCCharlotte, NC

Partners with Risk Manager on any audits/requests for information from FINRA, SEC and Stat ... * FINRA Series 7 and 66 or (63 & 65) licences; Also FINRA Series 8 or (9 & 10) or (4 & 10)... more

Mar 09PNC Investments Territory Supervisory Manager - Investment Banking jobPnc Financial Services GroupCharlotte, NC

Partners with RiskManager on any audits/requests for information from FINRA, SEC and State ... FINRA Series 7 and 66 or (63 &65) licences; Also FINRA Series 8 or (9 & 10) or (4 & 10) or... more

Mar 09Field Registered Principal JobAmeripriseLas Vegas, NV

manner; maintain records in accordance with FINRA, NYSE and other applicable regulations. ... experience as a registered principal. - FINRA Series 7, 24 licenses required. - FINRA... more

Mar 09Pcg Operations LiaisonWells FargoCarbondale, IL

written and verbal communication skills. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more

Mar 09Pcg Branch Administration MgrWells FargoNew York, NY

9/10 which are required for this position. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more

Mar 09Pcg Compliance SpecialistWells FargoIndianapolis, IN

9/10, which are required for this position. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or... more

Mar 09Wbs Registered Client Assoc 1Wells FargoCorte Madera, CA

2+ years investment support experience; FINRA registration; Series 7, 63 licenses or equivalent. Minimum Qualifications Ability to obtain Series 65 and state life and insurance... more

Mar 08FIN CNSLT II (Partner Broker) (USA) JobCapital OneHouston, TX

including but not limited to those of FINRA, the SEC and state insurance ... or equivalent Preferred Qualifications: - FINRA Series 7, 63 - State-approved Life and...more

Mar 08FINANCIAL CONSULTANT III (USA) JobCapital OneNew York, NY

This individual must hold FINRA Series 7, 63 and 65/66 as well as state approved Life and ... Qualifications Basic Qualifications: - FINRA Series 7, 63 and 65/66 licenses - State-appro... more

Mar 08USBII Trader 1US BankSt Paul, MN

experience in a financial sales position - FINRA Series 7 license Preferred Skills/Experience - FINRA Series 63, 65 or 66 and applicable state insurance licenses - Thorough... more

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