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

Front Cover
John Wiley & Sons, Sep 21, 2007 - Business & Economics - 352 pages
0 Reviews
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.

 

What people are saying - Write a review

We haven't found any reviews in the usual places.

Selected pages

Contents

FIVE BLACKBELT PRINCIPLES TO PROTECT AND GROW YOUR FINANCIAL SERVICES PRACTICE PART II FIVE BLACKBELT PRINCIPL...
129
FIVE BLACKBELT PRINCIPLES TO PROTECT AND GROW YOUR FINANCIAL SERVICES PRACTICE PART III HOW TO PREVAIL IN AN N...
197
FIVE BLACKBELT PRINCIPLES TO PROTECT AND GROW YOUR FINANCIAL SERVICES PRACTICE APPENDICES
283
FIVE BLACKBELT PRINCIPLES TO PROTECT AND GROW YOUR FINANCIAL SERVICES PRACTICE ABOUT THE AUTHORS
309
Copyright

Other editions - View all

Common terms and phrases

About the author (2007)

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.

Bibliographic information