Jun 25 | Stockbroker Trainee | New Horizons | New York, NY |
We are looking for hard working, driven individuals who have a passion for Sales and Finance. This is an outstanding opportunity to work in the heart of the Financial District in... more |
Jun 02 | Corporate FINRA and Securities Litigation attorney (partner) | Law Firm | New York, NY |
If you are a corporate securities litigator (commercial/contract FINRA etc..) this opportunity is for you Candidate must be able to interact with clients and demonstrate trust and... more | |||
May 29 | Senior Risk Specialist, Office of Risk - New York, NY or Washington, DC | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Risk Specialist opening in our New York, NY or Washington, DC office. To... more | |||
May 29 | Analyst,Public Offering | Finra | Gaithersburg, MD |
The analyst is responsible for reviewing and analyzing registration statements, underwriting documents, and complex transactions often under severe time pressure. This is a... more | |||
May 29 | Enterprise Architect | Finra | New York, NY |
FINRA is seeking a well qualified individual for our Enterprise Architect opening in New York, NY or Rockville, MD. Job Summary: The Enterprise Architect (EA) is part of a team of... more |
Jun 25 | FINRA Legal Extern (unpaid) - Full/Part Time | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Legal Extern opening in Rockville, MD. To be considered for this position,... more | |||
Jun 22 | Life Insurance Distribution - FINRA / SEC Attorney | Vintage Legal | New York |
Employer: Vintage Legal LLC Type: - Senior Attorney NYC Area. Our client is a global financial institution seeking an experienced attorney to provide legal support for...more | |||
Jun 21 | Personal Banker - Silver Spur and Beechgate. Rolling Hills, CA (FINRALicenses 6, 63, Life & Health Preferred) | JPMorgan Chase | California |
Personal Banker - Silver Spur and Beechgate. Rolling Hills, CA (FINRA Licenses 6, 63, Life & Health Preferred)-120039503 Job Description Play a vital role in the customer... more | |||
Jun 15 | FINRA Extern (Unpaid) | Financial Industry Regulatory Authority | Woodbridge, NJ |
Title: FINRA Extern (Unpaid) - Woodbridge, NJ Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our... more | |||
Jun 15 | FINRA Legal Extern (Unpaid) Full/Part Time | Financial Industry Regulatory Authority | Rockville, MD |
Title: FINRA Legal Extern (Unpaid) Full/Part Time - Rockville, MD Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking a well... more | |||
Jun 13 | CFS: 06-08 EXCLUSIVE, SEC, broker dealer, FINRA, regulatory exp req | Mla Global | Washington, DC |
The Washington office of major law firm seeks a talented mid-level associate with law firm, SEC, broker-dealer, FINRA, or comparable securities regulatory experience to handle... more | |||
Jun 13 | CFS: 06-08 EXCLUSIVE, SEC, broker dealer, FINRA, regulatory exp req | Major, Lindsey & Africa | Washington, DC |
The Washington office of major law firm seeks a talented mid-level associate with law firm, SEC, broker-dealer, FINRA, or comparable securities regulatory experience to handle... more | |||
Jun 11 | FINRA Investigative Extern (Unpaid) | Finra | Boca Raton, FL |
We Work to Protect Investors. Join our Team.</CENTER> � We are seeking a well-qualified individual for an Undergraduate Investigative Externship in our Enforcement Department in... more | |||
Jun 11 | SEC/ FINRA attorney | New York, NY | |
Employer: Confidential Type: - Staff Attorney Dynamic asset-management firm in Manhattan is seeking to hire a mid-level attorney. Really exciting opportunity for the right person. more | |||
Jun 05 | FINRA Extern (Unpaid) - HR Diversity and Work Life | Financial Industry Regulatory Authority | Rockville, MD |
Title: FINRA Extern (Unpaid) - HR Diversity and Work Life - Rockville, MD Location: null Other Locations: null The Financial Industry Regulatory Authority (FINRA) seeks a... more | |||
Jun 05 | FINRA Extern (Unpaid) - HR Diversity and Work Life | Finra | Rockville, MD |
The Financial Industry Regulatory Authority (FINRA) seeks a well-qualified Extern for summer 2012 in our Rockville, MD office. The purpose is to obtain an understanding of... more | |||
Jun 02 | FINRA Arbitration attorney | La Jolla, CA | |
Non-profit safety organization, with stipulated donation to regain losses to donor due to E Trade fraud, seeks an attorney. Case has been filed, and is in progress, and in process... more |
I make mistakes. You make mistakes. We all make mistakes. It's part of what makes us human. In a recent regulatory settlement, FINRA concedes that a... Read On
A former UBS rep sued his former UBS investment adviser brokerage firm. Also, the former rep sued UBS Bank. The Bank didn't file an Answer or appear i... Read On
GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento ... Read On
[In]Securities a Guest Blog by Aegis J. Frumento, Partner, Stern Tannenbaum & Bell Wanting to Break Free: The Delaware Chancery Court Strik... Read On
In 2018, a registered representative filed a FINRA Arbitration Statement of Claim seeking to expunge eight customer complaints from her industry recor... Read On