Finra Legal Career

Weekly Jobs Notice For Week Ending May 10, 2013 Compiled By …
Compiled by the Career Development Center 1" " JOBS NOTICE 21 years of age or older with legal authorization; Driver’s license, safe driving record, reliable vehicle, college degree, FINRA securities designations are a plus.

Ceedings brought before FINRA, the New York Stock Exchange, the American Arbitration Association and Mr. Poretz began his legal career as an assistant district attorney in Manhattan, where he tried in excess of 30 cases to verdict.

Open House – Job Fair
As well as career professionals, in the following positions: Accounting C.P.A. Staff Accountant *Member FINRA/SIPC. ** Legal services provided by outside counsel. *** Tax planning services provided by Hantz Tax & Business, LLC,

Considerations For Hiring Financial Professionals A Step Two
career and one who is a fairly recent addition to their list. When you talk Attorneys can help you with legal matters and the tax implications of transferring property by developing by the FINRA—Financial In-

Energy – Due Diligence Tips And Techniques For Oil And Gas …
Where he provided legal support to SAI’s ompliance Department on tax planning and securities advertising regulation. Mr. due diligence and compliance management functions to FINRA member broker-dealers. During his career,

JOSEFA SICARD-MIRABAL, ESQ. – United States Council For …
Ms. Sicard-Mirabal commenced her legal career as a small claims court judge and subsequently as Development Bank and currently sits as an arbitrator on multiple FINRA cases. She continued her legal studies at Fordham University School of

Career Services Office Information
Career Services Office Information about the legal marketplace, particular practice areas, and FINRA (IL, DC, FL) Florida 14th Judicial Circuit (FL) Fulton County District Attorney’s Office (GA) Hawaii Appellate Court (HI) Illinois Appellate Court

He began his career in 1974 as an NASD (n.k.a. FINRA) examiner and rose to supervisor. In 1983, John co-founded and was Executive Kim provides legal and regulatory guidance to PRI in connection with the development and distribution of its

Form ADV Part 2 Brochure Supplement December 20, 2011
Lewis began his career at Merrill Lynch in NYC in 1977. John P. (Jack) Morbeck Born: 1943 legal or disciplinary events that would be material to your evaluation of each maintain separate licenses as registered representatives of our FINRA registered broker-dealer, First Washington