Nov 25 | Stockbrokers - New Industry | Everest Merchant Services | New 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 | |||
Nov 23 | High Risk Broker Director, Enforcement | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our High Risk Broker Director opening in New York, NY. more | |||
Nov 23 | Enforcement Counsel | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Enforcement Counsel opening in New York, NY. To be... more | |||
Nov 23 | Director, Enforcement Center | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Director, Enforcement Center opening in New York,... more | |||
Nov 23 | FINRA Legal Intern, OGC CPAG - Washington | Financial Industry Regulatory Authority | Washington D.c., DC |
Title: FINRA Legal Intern, OGC CPAG - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Spring Internship Program FINRA is... more | |||
Nov 22 | Stockbrokers - New Industry | Everest Merchant Services | New York, NY |
EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We facilitate secure,... more | |||
Nov 21 | Regional Counsel, Enforcement | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regional Counsel opening in New York, NY. To be... more | |||
Nov 20 | Stockbroker | Scottsdale Capital Advisors | Scottsdale, 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 | |||
Nov 18 | Associate Investigator, Office of Fraud Detection and Market Intelligence, Central Review Group | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Investigator opening in New York, NY. To... more | |||
Nov 18 | Senior Customer Service Representative (w/validFINRA Series 6 License) | Exl Service | Richmond, VA |
EXL looks deeper. Deeper into your business to find smarter solutions and clearer strategies for a better business model. We believe that businesses must look deeper at how they... more | |||
Nov 18 | Associate Investigator, Office of Fraud Detection and Market Intelligence, Central Review Group - Ne | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Investigator opening in New York, NY. To... more | |||
Nov 17 | FINRA Legal Extern, Enforcement (UNPAID) | Financial Industry Regulatory Authority | Jericho, NY |
Title: FINRA Legal Extern, Enforcement (UNPAID) - Jericho, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified... more | |||
Nov 16 | Fianancial Advisor /Stockbroker | Southport Financial/raymondjames | Connecticut |
We are an independent, full service investment firm located in Southport, CT looking for a Financial Advisor to join our team. We Offer : Vibrant, comfortable atmosphere where you... more | |||
Nov 15 | Compliance Examiner - Market Regulation, TMMS Options | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in New York, NY. To be considered for this position,... more | |||
Nov 15 | FINRA Compliance Officer | Sicor Securities | Dayton, OH |
Company Description: Job Description: Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of... more | |||
Nov 12 | Stockbroker Trainee - Entry Level (Paid Training and Licensing) | Global Arena Capital | New York, NY |
Stockbroker Trainee - Entry Level (Paid Training and Licensing) Job Description Become a fully trained and licensed stockbroker and build yourself a great career with a solid... more | |||
Nov 07 | Business Analyst, Sr.Specialist - Market Regulation | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Business Analyst, Senior Specialist opening in New... more | |||
Nov 06 | Principal Associate, Brokerage FINRA Principal - New Orleans | Major Diversified Banking Company | Melville, NY |
Summary: Participate in the approval process for brokerage, annuity and life insurance trades. Apply consistency in decision making, thorough review of account paperwork and... more | |||
Nov 06 | Financial Advisor/Stockbroker | Morgan Wilshire | Garden 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 | |||
Nov 06 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San An | JPMorgan Chase | San Antonio, TX |
Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808... more | |||
Nov 02 | Stockbroker | Pendulum Capital Markets | Hackensack, 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 | |||
Nov 01 | Compliance/Regulatory Audits & Inquiries/SEC,FINRA | Jersey City, NJ | |
Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Compliance - Regulatory Audits & Inquiries - Consultant to join their team. Work for an... more |
The 2015 Flash Crash is the Wall Street gift that keeps on giving. In today's blog we got a FINRA arbitration and two federal lawsuits. Then we got sp... Read On
Schwab Intelligent Portfolios ("SIP") was advertised as a robo-adviser that didn't charge advisory fees; however, from March 2015 through November 201... Read On
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/... Read On
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The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org... Read On