NASD Arbitration Solution Five Black Belt

The right brain guide to NASD compliance for Registered Representatives This book tells the thrilling story of Thomas Hine's 22-month NASD arbitration, and how he applied timeless martial arts principles to build and protect his wealth advisory practice. The authors combine courtroom drama, vivid anecdotes, analogies, humor, and practical "how to" advice to create the definitive one-stop resource for Registered Representatives.

Thomas J. Hine, CFP, CFS, MBA, is the Managing Member of Capital Wealth Management, LLC and has more than seventeen years of experience in the financial services industry. In 2003, he became a "Million Dollar Producer," which means that his practice generates gross revenue in excess of more than one million dollars. He was recently nominated "Broker of the Year" by Boomer magazine. Hine speaks regularly to major companies and groups on the issue of compliance. He holds a 4th degree black belt in Shotokan Karate awarded by the Japan Karate Association.

John K. Brubaker is a full-time business writer and outplacement consultant. He also holds martial arts recognition and competes in decathlon competitions.

Why I Wrote This Book	p. vii
Acknowledgments	p. xi
Introduction	p. xv
My NASD Arbitration from Start to Finish
Sweating Bullets	p. 3
24: The Day That Almost Never Ended	p. 25
Expert Witness Unmasked: An Offer to Settle-I Finally Get to Testify	p. 53
Cross-Examination-It Was War	p. 81
Closing Arguments-And a Decision	p. 105
Five Black-Belt Principles to Protect and Grow Your Financial Services Practice
The Cycle of Life	p. 131
To Protect and Grow	p. 141
Humility: The White-Belt Attitude	p. 147
Integrity: Look in the Mirror	p. 157
Duality: Yin and Yang	p. 165
Awareness: The Third Eye	p. 177
Dedication: Kaizen	p. 189
How to Prevail in an NASD Arbitration Hearing
What's the Cost?	p. 199
Case Studies	p. 207
The Lawyer's Perspective: How to Prepare and Try an NASD Arbitration Case-by James W. Weller, Esq.	p. 219
How to Prepare for NASD Arbitration	p. 251
Preparing to Testify and Managing Your Case to Conclusion	p. 267
Appendices
NASD Arbitration Case Flow	p. 283
NASD Arbitration Trends	p. 291
Errors-and-Omissions Insurance	p. 295
Technology Tools	p. 299
Index	p. 303
About the Authors	p. 309
Table of Contents provided by Ingram. All Rights Reserved.

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NASD Arbitration Solution Five Black Belt Principles to Protect and Grow Your Financial Services Practice

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