NASD Arbitration Solution: 5 Black Belt Principles to Protect and Grow Your Financial Services Practice

NASD Arbitration Solution: 5 Black Belt Principles to Protect and Grow Your Financial Services Practice

by John K. Brubaker, Thomas J. Hine
     
 

The threat of an investor complaint hangs over the head of every Registered Representative every day in the business. Despite the fact that NASD arbitration can become a career-defining, or even career-ending event, many Registered Representatives are unaware of exposures they may have in their current practice and how this system actually works. While concerns

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Overview

The threat of an investor complaint hangs over the head of every Registered Representative every day in the business. Despite the fact that NASD arbitration can become a career-defining, or even career-ending event, many Registered Representatives are unaware of exposures they may have in their current practice and how this system actually works. While concerns surrounding NASD arbitration continue to grow, there is still a lack of solid, clear, and helpful information on this most vital of topics. That's why Thomas Hine, with the help of John Brubaker, decided to write NASD Arbitration Solution.

While those who've faced NASD arbitration usually avoid discussing their experiences because of the taboo nature of the subject, financial professional and 4th degree black belt Thomas Hine has not. Throughout these pages, he shares the lessons learned from his twenty-one month NASD arbitration ordeal and reveals how he relied on five simple but powerful principles—which were part of his more than twenty years of martial arts training—to build and protect his wealth advisory practice along the way. This definitive resource brings NASD compliance issues to life as never before and shows you how to simultaneously protect and grow a financial services practice, and, if necessary, deal with a well-intentioned system that has become increasingly hostile and adversarial.

Divided into three comprehensive parts—My NASD Arbitration from Start to Finish, Five Black Belt Principles to Protect and Grow Your Financial Services Practice, and How to Prevail in an NASD Arbitration Hearing—this book:

  • Completely details Hine's journey through arbitration, from pre-hearing preparation, testifying under oath, and cross-examination to closing arguments and the arbitration panel's dramatic final decision
  • Clarifies each of the five "Black Belt" principles used by Hine and demonstrates how you can apply them in the development of a prosperous, ethically sound, client-focused financial services practice
  • Provides those who are brought into NASD arbitration with expert knowledge, a clear step-by-step plan of action, and easy-to-use tools to effectively defend themselves
  • Gives an insider's view of NASD arbitration from a top practicing attorney
  • And much more

Increasingly complex financial products, the implementation of stricter regulations, and the speed of real time business pose serious risks to even the most seasoned of Registered Representatives. To navigate this tough terrain, discover an approach based on the universal principles of humility, integrity, duality, awareness, and dedication—and use it to strengthen your practice and, if necessary, overcome the challenges that are an inevitable part of the arduous NASD arbitration process.

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Product Details

ISBN-13:
9780470126325
Publisher:
Wiley
Publication date:
06/15/2007
Pages:
336
Product dimensions:
6.20(w) x 9.10(h) x 1.40(d)

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