An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

August 21, 2012

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

Visit the BrokeAndBroker 



Aug 17Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeNew Jersey

Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more

Aug 17Corporate FINRA and Securities Litigation attorney (partner)Law FirmNew York, NY

Company Description: NYC Headquartered full-service law firm located in the heart of Manhattan, specializing in Corporate, Capital Markets and Securities law, Commercial... more

Aug 14Financial Advisor AAA PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesWilliamsport, PA

Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct... more

Aug 15Stockbroker Trainee PositionNew York, NY

seeking qualified candidate for full time Stockbroker Trainee Position.a Full sponsorship for Series 7 & 63 exams.a You will be working alongside seasoned industry veterans.a A... more

Aug 13Stockbrokers a New IndustryEverest Merchant ServicesNew York, NY

Company Description: Job Description: EMS is one of the largest credit card processing firms in the US and is seeking seasoned, aggressive, dynamic stockbrokers and traders that... more

Aug 08Stockbroker TraineeNew HorizonsNew 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

Aug 07Stockbroker Sr Financial Advisory & Benefits Sales ExecBusiness Services CompanyWilmington, DE

Our client a major international publicly traded financial services and benifits advisory professional services firm needs a C level pro with a track record of success calling on... more

Aug 18FINRA Legal Extern - Dispute Resolution - MediationFinancial Industry Regulatory AuthorityBoca Raton, FL

Title: FINRA Legal Extern - Dispute Resolution - Mediation - Boca Raton, FL Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking a... more

Aug 18Financial Advisor - DE/PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesWilliamsport, PA

Financial Advisor - DE/PA Life/Health, FINRA - DIRECT HIRE Posted on:08/17/12 Job Number: 300398-8907-1-307146 Add to Cart Email to a Friend Location: Williamsport, PA... more

Aug 17Financial Advisor DE/PA Life/Health, FINRAVolt Information SciencesWilliamsport, PA

Financial Advisor - DIRECT HIRE - Williamsport, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR... more

Aug 17FINRA Legal Extern - Dispute Resolution - MediationFinraBoca Raton, FL

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Extern - Dispute Resolution - Mediation opening in Boca Raton, Florida. The... more

Aug 16Sr Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeSomerset, NJ

Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more

Aug 14FINRA Extern, Credit Regulation & OJTFinancial Industry Regulatory AuthorityNew York, NY

Title: FINRA Extern, Credit Regulation & OJT - New York, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified... more

Aug 10FINRA Legal Extern (UNPAID), Sales Practice PolicyFinancial Industry Regulatory AuthorityWashington, DC

Title: FINRA Legal Extern (UNPAID), Sales Practice Policy - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. The Financial Industry... more

Aug 10FINRA Legal Extern (UNPAID), Sales Practice PolicyFinraWashington, DC

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) seeks second and third year law students for our Legal Extern, Sales Practice... more

Aug 10FINRA Extern (UNPAID), Investor EducationFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Investor Education Extern openings in New York, NY. The Externship Program is... more

Aug 09Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San AntonioJPMorgan ChaseTexas

Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San Antonio, TX-120044911 Job Description Customer Service Representative I The Investment... more

Aug 02FINRA LEGAL EXTERN (UNPAID)Georgia Department of LaborAtlanta, GA

REQUIRED Skills/Qualifications Education/Experience Requirements: * Graduate student pursuing JD or LLM. * Securities law-related course work and/or knowledge of securities law or... more

Jul 28Financial Advisor - PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesJohnstown, PA

Financial Advisor - PA Life/Health, FINRA - DIRECT HIRE Posted on:07/27/12 Job Number: 300282-9766-1-305684 Add to Cart Email to a Friend Location: Johnstown, PA Description:... more

Jul 27Financial Advisor PA Life/Health, FINRAVolt Information SciencesWilliamsport, PA

Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct... more

Jul 26FINRA Extern (Unpaid) - Office of the OmbudsmanFinraRockville, MD

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

Jul 25FINRA Arbitration attorneyLa 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

Jul 25Investment Customer Service Rep I - Wealth Mgmt - Broker Service Center - FINRA Series 7 Required - ChicagoJPMorgan ChaseIllinois

Investment Customer Service Rep I - Wealth Mgmt - Broker Service Center - FINRA Series 7 Required - Chicago, IL-120044921 Job Description Chase Investment Services - Customer... more

Jul 24Compliance /Regulatory Audits Analysis/FINRASourceJersey City, NJ

Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Legal Compliance Analyst to join their team. Work for an exciting company within a... more

Jul 22Life Insurance Distribution - FINRA / SEC AttorneyVintage LegalNew 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

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement BrokerAndBroker Employment Guest Blog Guest Blogger Wells Fargo Street Sweeper Bill SInger Jobs Aegis Frumento OBA U5 Fraud Promissory Note U4 Email Merrill Lynch Morgan Stanley UBS Defamation CRD EFL Elderly Wire Fraud BrokeAndBroker InSecurities Statutory Disqualification OHO Whistleblower NAC Suitability PST Forbes FBI DOJ Ponzi Rule 3270 ALJ Citigroup Supervision BrokerCheck IRS Form U4 Borrowing SDNY OIP Expenses Willful Supreme Court Pro Se Bank Outside Business Activity Felony Ameriprise WSP Rule 8210 Rule 2080 Securities Industry Commentator Dodd Frank Discretion Wrongful Termination Rule 2010 Form U5 IRA Discovery Wachovia RIA Raymond James JP Morgan Business Expenses Mail Fraud NASD Wife Bar Insider Trading Conversion Punitive Damages Husband Bankruptcy CCO TRO Rule 1122 Settlement Margin Checks Forgery Edward Jones Stephen Kohn Willfulness LPL Tax Estate Rule 3240 Trump arbitration 2Cir Schwab Commissions Employment Tuesday NYSE Outside Business Activities Credit Card Madoff Promissory Notes Small Firm Rule 3040 Beneficiary FAA Insurance Wall Street Frumento Corrective Action Statement Options Private Securities Transaction Annuities Injunction Facebook Rule 3280 Bank of America Impersonation Tax Liens Antitrust Indictment CFTC Customer Real Estate Power of Attorney Due Diligence Rule 12206 Crypto ETF Trust Stay Tax Lien Exam Remand ATM Mortgage TD Ameritrade Street Legal SRO Test Offer of Settlement Spouse Signature Barclays COVID Complaint Securities Fraud Retaliation OTR Misdemeanor Annuity Away Account Solicitation Trustee Goldman Sachs OWB email POA ACQ Rule 2510 Jurisdiction VA Wire Explained Decision Motion to Dismiss NASDAQ Sanctions Schapiro Case In Point Eligibility Rule ARS Initial Decision Spouses Unauthorized Discretion Discrimination Appeal Rule 4511 Lien DCCir Blockchain Loan T&P Liens Rule 12200 Burris NSF Mandatory Arbitration 9Cir JPMorgan Rule 4530 Money Laundering E*Trade HFT Reg SP Fidelity Conspiracy Employee Forgivable Loan Bonus RBC Unfair Competition Failure to Supervise Deutsche Bank Unsuitability PCAOB Cease And Desist Great Recession Class Action Signatures Flash Crash NASAA Dissent AML expungement LOA Personal Expenses Reimbursement Fiduciary Rule 3010 Continuing Education Compliance CRS REIT Motion to Vacate Retirement Manifest Disregard Chase Hacking Vacatur Divorce Due Process Severance Scottrade Willfully Undisclosed Settlement Customer Complaint Disgorgement Broker Protocol 10Cir Huffington Post Credit Cards SDFL Fees Identity Theft Spoofing Sexist Rule 3110 RRBDLAW.com FINRA Board Cryptocurrency MSSB IAR Sexism Registered Rep Magazine Indemnification Lehman Brothers Malware Bharara MC-400 Hacker Disclosure Internet Gallagher Will Deceased Rule 3050 Variable Annuity BD Unauthorized Trading Board brokeandbroker Bitcoin Forex Self Regulation LIBOR Coronavirus Statute of Limitations Audit Kokesh Private Placement Examination Trading Platform Stockbrokers Lucia Stifel employment Loans Widow Emails Letter of Authorization Social Media Apple Wedbush Website Annual Compliance Questionnaire Solicited Wey Variable Annuities Elder Abuse FINRA Arbitration Zipper Away Accounts Private Securities Transactions Commission Gensler BrokeAndBroker Bill Singer Breach of Contract FINOP Rule 12904 Public Interest 4Cir Arbitraiton Dakota Securities Rule 12805 Rule 2111 Second Circuit BOP 2nd Circuit jobs Unsolicited Crowdfunding Rule 9552 RMBS Confidential Information Credit Suisse Lehman Brummer Bonds Rule 2150 Hedge Fund Exhaustion of Administrative Remedies Net Capital Waiver PIABA 3Cir PNC WSPs Postponement Prison Registration RRBDlaw.com IC3 Motion to Confirm Newman Telephone Suspension Cheating RR Diversity Unsuitable JPM Marijuana bill singer Plea BrokeandBroker BrokeAndBroker.com Blog Charles Schwab CE Bureau of Prisons Robinhood Time And Price FOREX Debit Card Morgan Keegan Bear Stearns Non-Solicitation Imposter OIG MetLife Whistleblowing CMA Sanction Guidelines Unjust Enrichment ADA Margin Call Hilton Weiner China Rule 13200 NYAG IPO TOD Judgments Small Firm Governor Whistleblowers Board of Governors Charge Covid Botkin Protocol Non Solicitation Sexual Harassment Gold Rule 2081 Puerto Rico Rakoff Oppenheimer Testimony Compensation Concentration Private Placements SunTrust DOL Tortious Interference Stifel Nicolaus Knight Piwowar Embezzlement Rule 2210 WB-APP Racism FNMA Finra Restaurant Check Kiting Mother Reg S-P Statutory Disqualification Committee CPA 1Cir Regulation SP Leggett Raiding 9/11 JOBS Act NDCA Joshua Brown Obstruction of Justice Counterclaim CNBC Membership Continuance NoCA Confirm Employment Agreement Broke And Broker Series 7 Rule 4513 OSHA Lawyer Auction Rate Securities Mutual Funds 11Cir Elder Fraud Ketchum CEO 10b-5 Rule 13805 guest blog Rationale Affiliate Puts Rosenthal Recruiting Restitution Termination USERRA TCR Taxes Funds Aleynikov Customers Leveraged ETF Written Supervisory Procedures Standing Shah Gilani VIX Lawyers Affinity Fraud Appointments Clause Charity Pennystocks Stanford Saad Sarbanes Oxley securities industry commentator Rule 12504 PN Bank Fraud Research Bandimere Reg D SAC ING Khuzami TSSB Wine Irreparable Harm fraud Conflict AAA EIA Pennystock Robert Cook Preliminary Injunction Cannabis Feigenbaum Service Unregistered Executor Confidentiality Check Biden Churning Johnny Burris Michael King Associates Hurry Dementia Test Center High Frequency Trading Testing Medicare Day Trading Phishing Michael King HSBC Immunity Banc of America TheBlot guest blogger Deferred Compensation Trade Secrets Sales Assistant MF Global EDNY Woody Allen Inability to Pay Federal Reserve Passcode Information Bloomberg Confidential Form ADV Wire Transfer supervision Enforcement Customer Information aegis frumento Article V Morgan Stanely insecurities Corruption Circuit Court Attorneys Fees Stipulated Award Self Regulatory Organization Rule 9554 ACH signature Probate Rule 21F Eligibility Teleconference Privilege Bid Rigging Hester Peirce Ethereum White Vault Sexual Discrimination Laptop Joint Account Chief Compliance Officer CDO Hearing Rule 3030 Congress Aguilar Beneficiaries Mutual Fund Failure To Supervise Chase Investment Services DNJ Parking Obstruction Outside Account Statement of Corrective Action Trader Star Wars AXA Medical Condition Administrative Remedies Layering Disability Amazon money laundering IM Corzine Side Bar Rule 3310 CGMI NRF Rule 12212 Consent Order FINRA AWC Moon McDuff Negligence Excessive Trading ICO 6th Circuit Death 6Cir Wanger Commodities Fraud Absolute Immunity Casino Unauthorized Practice of Law BrokeAndBroke Argentina Google Over Concentration Spoliation Conflict of Interest OCIE Pruco Motion to Compel Finder\'s Fee Hugh Hewitt Guitron Relevant Disciplinary History Morgan Stanley Smith Barney Yesenia Guitron Nietzsche Marketplace Government Accountability Project JPMS Constitution Honorarium Poteroba Talman Harris Marines Subpoena 401k Marine Corps PAQ Vietnam Self Directed Securities America Lincoln Financial Ride the Thunder NPR Accounting Kon Whitman Superior Court Smith Barney Default Penson FINRA Small Firm Online Third Party Vendor Sharemaster FMLA David Sobel Hospital Respondeat Superior Non Solicit Rule 13504 Res Judicata Turnover Offset wire fraud Selling Away mail fraud Scottsdale Series 79 Gross OWWP Control Person Racial Discrimination Interactive Brokers Reuters Backstage Wall Street Fine SIFMA Guest Bloggers Red Flags Slander Relevant DMD Rory Flynn Attorneys\' Fees Extortion Inmate VXX Prudential Self Reporting Florida For Cause Ethics Fifth Amendment WaMu Johnson Fowler RRBDlaw Newport Coast Securities BrokeAndbroker NY Life Subject Matter Jurisdiction Resignation Expert Witness Capital Gains Life Insurance Fines Netschi Moore SD GameStop RICO Withdrawals Dell Daughter FCPA Tax Fraud Counterfeit Texting Permanent Bar FCI FCI Beaumont TIC Reverse Life Insurance Christian Stanley NYG Capital Kiting Taft Correctional Institution Gamification Rule 1031 Regulation Verbal Discretion Oral Discretion David Lerner Obama Schneiderman CD Acosta Chiasson 11th Circuit Stockbroker Investment Adviser Electronic Communications Rule 9216 S&P Regulation S-P Commissioner Stein 401(k) Book of Business YouTube Blank Forms Wires Title VII wrongful termination Disciplinary History EDPA Fee Pension Inside Information FAP Microcap Meals Risk Confirmation Rule 2430 Timban ESOP WhatsApp Penalty Motion Chase Bank Settling Away 10b-10 Civil Rights Arbitration State Actor Revocation Commodities Password Hotel Money Market Zoom Escrow BATS 5Cir Arrest Son Conflicts Annual Audit Outside Counsel Falsification FOCUS Chevron Rule 2370 Outside Accounts Client Information Liquidation Libel First Amendment Stop Loss Copyright Investor Alert BrokerAndBroker.com Judgment UIT Puerto Rico Bonds Crime Elder Law Trading elderly Jennifer Tarr Tesla Reform Data Scholander SP Fiduciary Duty LLC Cold Spring Advisory Group Female Equity Indexed Annuities 17a-5 Elles Do Not Call 40 Act Thain Department of Justice Extraordinary Circumstances Cantor Fitzgerald Allocation Kovack Securities JAMS AWC. FINRA FTC Customer Files Lewis Carroll Tran Cybersecurity Capitalism College Rule 13904 NFA Dow Summary Judgment CAT Initials Harassment DWI Diabetes Springsteen Exemption FDA Tennis Court Retired Woman With Cane McCartney Countrywide Investment Advisers Act Tipper Collateral Bar Clayton Jon Corzine Fernandez Bob Dylan Gabelli Retroactive Bar Checking Rule 3210 Varney Retroactive Tippee Proctor Municipal Advisor Espionage Wages Altered Records Overtime Executrix Schumer Bartko bank Series 66 NRSRO Brokeandbroker.com Berthel Fisher Cherry Picking Life Settlement Sex Spam Success Fee Rule 144 South Park finra ESG Rule 2330 Murray NFT Newbridge Baby Boomers Stock Promotion Gnomes Khan Oilpro Compliance Questionnaire Kent Lexicon DCO Hayden No Show Fraudulent Inducement Production Extraordinary Cooperation MAP AI Flash Drive At Will Obamacare Third Party Beneficiary Disparate Treatment RRBDLAW Led Zeppelin whistleblower NYLIFE Ruder Task Force Traders Tax Advice ALJ Grimes Fiero Molchatsky Cryptocurrencies HBO ADEA Bequest Forfeiture Coin Cybercrime EB-5 Dostoevsky Expense NPI Beatles Kenneth Starr Well Managed Portfolio Age Discrimination Practice Sale Romer Martoma Costa Rica Exception Reports JPMorgan Chase Father Mantar Janney Montgomery Scott Communications Principal Apartment Koval Last Known Address DRS Lek Rule 13201 Voya Witness Tampering Schottenstein Laser Section 1332 Promoter BIll Singer Punitive Guardian Exception Report National Securities Mattera Joint Production Undertaking Diamonds EEOC NML Bribe Peirce Branch Manager Expert Sears ETFs WBAPP Liu Pershing Municipal Bonds Silver Financial Disclosure ADR Public Arbitrator Rule 21F-17 Evidence SEC Rules of Practice Vungarala Purshe Kaplan God Eric Stein Blackbook Kennedy Dylan Exotic ETF William Faulkner Reg SHO JP Morgan Securities Reasonable Motion To Dismiss Swaps Bezos Harris Compliance Officer SLUSA Willfull Calls Mary Jo White Clearing Firm Non-Solicit Texas State Securities Board Preet Bharara Fourth Amendment GME Allstate Binary Options Motion to Postpone Undercover Back Dated AMC ACT! Women Tysk Altered Examinations In Connection With BrokeandBroker.com Bill Singer BrokeAndBroker Solomon Hackers Subway Trainee Fee Personal Information Quasi Governmental State Farm Section 206 Rule 420 Elon Musk Walter Mary Schapiro Hostile Workplace Naskovets Sterne Agee Income IBM Skimming SDOH ALJ Foelak Non Compete Criminal Disney Prime Bank Merger FNI Media Galleon Citibank Sharing Agreement Leveraged ETFs Martin Gifts Credit Repair Jury Instructions Work Product Nasdaq Panama Covid-19 Collateral Powell Deceased Customer Investacorp Mistake Books And Records Bank Guarantee Ecuador 9th Circuit Jay Clayton Alcoholism Preliminary Determination Fundacion Nicor Confidential Customer Information Kierkegaard Cellphone Transfer false statements Books and Records Rule 13212 Margin Calls Hurtado Securities and Exchange Commission Transitional Bonus PHC Transamerica Nationwide Motiion to Acquit Justice Press Release US Airways Vaccarelli Advisor Placement Group Rule 12511 Rule 13104 Currency AIG BitTorrent Discharge NMS Arbitrator GAP Unauthorized Trades Shotgun Pleading Banks Ten Commandments PSRO Statute of Limitation Stephen A. Kohn Stipulation Merill Lynch Motion to Exclude Ineligibility Arbitrability Mail Frivolous Legend Salman FinCEN Bill singer Reverse Merger Impersonator Bank Secrecy Act Patriot Act MDLA SIPC Motion to Compel Arbitration Rule 12104 Scam FINRA Eligibility Rule Reason for Termination annuities DMCA Law School CMO Training Office of Special Counsel Lorenzo Travel securities fraud MSPB Notice Grievance MBS Particularity In House Counsel Short Sale Corporate Credit Card House Financial Services Howey Hearsay Exhaustion Doctrine Fidelity Brokerage Services Anderson 8210 Vacate Compromise Wire Transfers Lee Orders Game of Thrones Dissident iPhone Supervisor Court of Appeal reimbursement Daspin Malice BBVA Non-Prosecution Agreement Dinner Pacifico Theft expenses 529 Plan Turbeville Boyland SDCA Audit Committee Broy Wang DDC 1099 Payroll Production Bonus Nicolas Corcione Goble Excel QuadrigaCX Guardianship Merrill Twitter Form TCR sexism Rules of Practice defamation Hertz Rule 13206 Constructive Discharge FINRA Foundation Wells Fargo Advisors Burden of Proof Deferred Prosecution Agreement DPA