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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. Table of Contents Why I Wrote This Book.
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 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 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.
About the Authors.
Author Information 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.
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