Apr 02 | Personal Banker - Cupertino,CA (FINRALicenses Series 6,63, Life and Health Preferred) | JPMorgan Chase | California |
Personal Banker - Cupertino,CA (FINRA Licenses Series 6,63, Life and Health Preferred)-120015797 Job Description Play a vital role in the customer banking experience at Chase! As... more | |||
Apr 02 | Compliance Analyst, Financial Brokerage Compliance Analyst with FINRA exp. | Michael Wasserman & Associates | Camarillo, CA |
Premier brokerage firm offering general securities services to institutional and individual investors seeks an experienced Compliance Analyst with FINRA compliance experience. more | |||
Mar 30 | FINRA Extern - Dispute Resolution, Mediation and Business Strategy | Financial Industry Regulatory Authority | New York, NY |
Title: FINRA Extern - Dispute Resolution, Mediation and Business Strategy - New York, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is... more | |||
Mar 30 | FINRA Extern - Dispute Resolution, Mediation and Business Strategy | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Extern - Dispute Resolution, Mediation, Business Strategy and Arbitration opening... more | |||
Mar 29 | FINRA ATTORNEY | Response Company | New York, NY |
Our client is seeking a FINRA attorney with 3-5 years of experience in FINRA compliance and broker-dealer regulations. This is an excitiing opportunity to join a company, already... more | |||
Mar 27 | Associate Director - HR Relationship Management -FINRA | Staffing Advisors | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Director - HR Relationship Management opening in Rockville, Maryland. more | |||
Mar 20 | FINRA Legal Extern (Unpaid) | Financial Industry Regulatory Authority | Boca Raton, FL |
Title: FINRA Legal Extern (Unpaid) - Boca Raton, FL Location: null Other Locations: null We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual... more | |||
Mar 20 | FINRA Extern - Sales Practice, Member Regulation | Financial Industry Regulatory Authority | Jericho, NY |
Title: FINRA Extern - Sales Practice, Member Regulation - Jericho, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking a well... more | |||
Mar 20 | FINRA Investigative Extern (Unpaid) | Financial Industry Regulatory Authority | Boca Raton, FL |
Title: FINRA Investigative Extern (Unpaid) - Boca Raton, FL Location: null Other Locations: null We Work to Protect Investors. Join our Team. We are seeking a well-qualified... more | |||
Mar 16 | Financial Industry Regulatory Authority (FINRA) | Binghamton University | New York |
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to... more | |||
Mar 15 | FINRA Legal Extern (Unpaid) | Finra | Atlanta, GA |
We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual for a Graduate Legal Externship in our Enforcement Department in Atlanta, GA. This position... more | |||
Mar 13 | Firm Integration Consultant -FINRA 7 REQUIRED | Nfp - Insurance Services, Inc. - Austin, Tx Office | Austin, TX |
SUMMARY: Responsible for the successful transition of new financial advisors to NFP Advisory Services Group ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job... more | |||
Mar 13 | FINRA Registered Representative & Front Desk Coordinator | American Century Investments | Mountain View, CA |
Registered Representative/Front Desk CoordinatorSummary: The Registered Represetative/ Front Desk Coordinator is responsible for delivering a positive investor experience, which... more | |||
Mar 09 | FINRA Investigative Extern (Unpaid) | Finra | Boca Raton, FL |
We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual for an Undergraduate Investigative Externship in our Enforcement Department in Boca Raton,... more | |||
Mar 06 | Customer (Investment) Service Rep I or II - Wealth Mgmt - Sourcing Req - Broker Service Center - FINRASeries 7 Required - Chicago | JPMorgan Chase | Chicago, IL |
Chase Investment Services - Customer Service Representative I or II The Chase Investment Service Centers have a strong reputation of superb customer service. We are a disciplined... more | |||
Mar 06 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio | JPMorgan Chase | San Antonio, TX |
Customer Service Representative I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted to customer service and... more |
Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6445/wells-fargo... Read On
Wall Street is about nothing if not money. In today's featured dispute, we got a transitional bonus. We got production bonuses. We got promissory note... Read On
The saga of Beverley Schottenstein's lawsuit against JP Morgan Securities and her grandsons Evan and Avi has been widely reported in the press. This... Read On
On Wall Street, the regulated and the regulators each have a role to play in the regulatory scheme. The regulated need to follow the rules. The regula... Read On
Your broker-dealer just fired you. You're angry because they sandbagged you and it was a set-up, or so you say. All of which prompts you to dial a law... Read On