Thomas J.Hine – NASD Arbitration Solution

Description

The proper mind information to NASD compliance for Registered Representatives
This guide tells the thrilling story of Thomas Hine’s 22-month NASD arbitration, and the way he utilized timeless martial arts rules to construct and shield his wealth advisory apply. The authors mix courtroom drama, vivid anecdotes, analogies, humor, and sensible “how to” recommendation to create the definitive one-stop useful resource for Registered Representatives.
Table of Contents
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—I Finally 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 Your Financial 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 within 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 Arbitration Hearing.
Chapter 13 What’s the Cost?
Chapter 14 Case Studies.
Chapter 15 The Lawyer’s Perspective: How to Prepare and Try 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 to Conclusion.
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.
Author Information
Thomas J. Hine, CFP, CFS, MBA, is the Managing Member of Capital Wealth Management, LLC and has greater than seventeen years of expertise within the monetary companies trade. In 2003, he turned a “Million Dollar Producer,” which implies that his apply generates gross income in extra of a couple of million {dollars}. He was just lately nominated “Broker of the Year” by Boomer journal. Hine speaks recurrently to main firms and teams on the difficulty of compliance. He holds a 4th diploma black belt in Shotokan Karate awarded by the Japan Karate Association.
John Ok. Brubaker is a full-time enterprise author and outplacement advisor. He additionally holds martial arts recognition and competes in decathlon competitions.