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 |
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog) https://www.brokeandbroker.com... Read On
A former Wells Fargo Clearing Services, LLC registered representative attempted to pay $3,800 to purchase an Outback Bowl VIP Club Membership, which... Read On
In today's blog we consider the plight of two registered representatives seeking to obtain expungements of customer complaints by filing FINRA Arbitra... Read On