NASD Arbitration Solution – Thomas J.Hine
Original price was: $27.00.$11.00Current price is: $11.00.
In StockThis 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.
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Accelerate your learning with the NASD Arbitration Solution – Thomas J.Hine course, priced at just Original price was: $27.00.$11.00Current price is: $11.00. on ESYSGB.com! Explore our extensive catalog of over 60,000 downloadable digital courses across Uncategorized. Experience flexible, self-paced learning from experts and save over 80%. Empower your future today!
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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.
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 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.
Index.
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