An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

December 10, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
Stockbroker, Compliance, Legal, and Regulatory Jobs


Visit the BrokeAndBroker 

NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: 
stockbrokers, advisors, lawyers, regulators, compliance officers, and 
back-office staff.
  
Click POST A JOB and your position will be promptly listed.  
Only $25 for 30 days!

Dec 07Financial Advisor/StockbrokerMorgan WilshireGarden 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

Dec 06Stockbrokers - New IndustryEverest Merchant ServicesNew 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

Dec 05StockbrokerScottsdale Capital AdvisorsParadise, 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

Dec 02StockbrokerPendulum Capital MarketsHackensack, 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

Dec 05Manager - Market Regulation, MMI/Trading AnalysisFinraRockville, MD

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

Dec 03Associate Tester I - New York, NY - Contractor ConversionFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Associate Tester I opening in New York, NY. To be... more

Dec 03Economic Research Analyst - WashingtonFinraWashington D.c., DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Economic Research Analyst opening in Washington, DC . To be considered for this... more

Dec 03Program Senior Director, Shared Services - New York, NY (Contractor Conversion)FinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: Job Summary: The Project/Program Senior Director will support all activities related to Program Management Office. Full lifecycle management includes... more

Dec 07Graduate Intern - Market Regulation, LegalFinraNew York, NY

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 07Grad/Undergraduate Intern - Market Regulation, OptionsFinraNew York, NY

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 07Grad/Undergraduate Intern - Market Regulation, TMMSFinraNew York, NY

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 07Staff Desktop EngineerFinraRockville, MD

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

Dec 07Grad/Undergraduate Intern - Market Regulation, Quality of MarketsFinraRockville, MD

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Dec 07SUMMER STUDENT Undergraduate/Graduate Intern - Member Regulation, Sales PracticeFinraChicago, IL

FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the securities industry with an employer that places a high value on the... more

Dec 07Financial Advisor/StockbrokerMorgan WilshireGarden 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

Dec 06Manager Market Regulation, MMI/Trading Analysis | Finance & InvestmentFinraRockville, MD

Essential Job Functions: Takes leadership role by providing input to senior managers in identifying and anticipating regulatory issues that impact the role and responsibilities of... more

Dec 06Stockbrokers - New IndustryEverest Merchant ServicesNew 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

Dec 05Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredChaseChicago, IL

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and operations... more

Dec 05Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio, TJPMorgan ChaseSan Antonio, TX

Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808 Job... more

Dec 05StockbrokerScottsdale Capital AdvisorsParadise, 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

Dec 02StockbrokerPendulum Capital MarketsHackensack, 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

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