NASD Arbitration Solution
Five Black Belt Principles to Protect and Grow Your Financial Services Practice
Published on 25. September 2007
352 pages
978-0-470-16591-1 (ISBN)
Description
The right brain guide to NASD compliance for RegisteredRepresentatives
This book tells the thrilling story of Thomas Hine's 22-monthNASD arbitration, and how he applied timeless martial artsprinciples to build and protect his wealth advisory practice. Theauthors combine courtroom drama, vivid anecdotes, analogies, humor,and practical "how to" advice to create the definitive one-stopresource for Registered Representatives.
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Thomas J. Hine | John K. Brubaker
NASD Arbitration Solution
Five Black Belt Principles to Protect and Grow Your Financial Services Practice
Book
07/2007
1st Edition
Wiley
€47.00
Shipment within 10-20 days
Persons
Thomas J. Hine, CFP, CFS, MBA, is the Managing Member ofCapital Wealth Management, LLC and has more than seventeen years ofexperience in the financial services industry. In 2003, he became a"Million Dollar Producer," which means that his practice generatesgross revenue in excess of more than one million dollars. He wasrecently nominated "Broker of the Year" by Boomer magazine. Hinespeaks regularly to major companies and groups on the issue ofcompliance. He holds a 4th degree black belt in Shotokan Karateawarded by the Japan Karate Association.
John K. Brubaker is a full-time business writer andoutplacement consultant. He also holds martial arts recognition andcompetes in decathlon competitions.
Content
Why I Wrote This Book.
Acknowledgments.
Introduction.
Part One: My NASD Arbitration from Start to Finish.
Chapter 1 Sweating Bullets.
Chapter 2 24: The Day That Almost Never Ended.
Chapter 3 Expert Witness Unmasked: An Offer to Settle--IFinally Get to Testify.
Chapter 4 Cross-Examination--It Was War.
Chapter 5 Closing Arguments--And a Decision.
Part Two: Five Black-Belt Principles to Protect and Grow YourFinancial Services Practice.
Chapter 6 The Cycle of Life.
Chapter 7 To Protect and Grow.
Chapter 8 Humility: The White-Belt Attitude.
Chapter 9 Integrity: Look in the Mirror.
Chapter 10 Duality: Yin and Yang.
Chapter 11 Awareness: The Third Eye.
Chapter 12 Dedication: Kaizen.
Part Three: How to Prevail in an NASD ArbitrationHearing.
Chapter 13 What's the Cost?
Chapter 14 Case Studies.
Chapter 15 The Lawyer's Perspective: How to Prepare andTry an NASD Arbitration Case--by James W.Weller, Esq.
Chapter 16 How to Prepare for NASD Arbitration.
Chapter 17 Preparing to Testify and Managing Your Case toConclusion.
Appendices.
Appendix A NASD Arbitration Case Flow.
Appendix B NASD Arbitration Trends.
Appendix C Errors-and-Omissions Insurance.
Appendix D Technology Tools.
Index.
About the Authors.
