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9780470165911

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

by ;
  • ISBN13:

    9780470165911

  • ISBN10:

    047016591X

  • Format: eBook
  • Copyright: 2007-09-01
  • Publisher: Wiley
  • Purchase Benefits
List Price: $49.95
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Summary

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
My NASD Arbitration from Start to Finish
Sweating Bullets
24: The Day That Almost Never Ended
Expert Witness Unmasked: An Offer to Settle-I Finally Get to Testify
Cross-Examination-It Was War
Closing Arguments-And a Decision
Five Black-Belt Principles to Protect and Grow Your Financial Services Practice
The Cycle of Life
To Protect and Grow
Humility: The White-Belt Attitude
Integrity: Look in the Mirror
Duality: Yin and Yang
Awareness: The Third Eye
Dedication: Kaizen
How to Prevail in an NASD Arbitration Hearing
What's the Cost?
Case Studies
The Lawyer's Perspective: How to Prepare and Try an NASD Arbitration Case-by James W.Weller, Esq
How to Prepare for NASD Arbitration
Preparing to Testify and Managing Your Case to Conclusion
Appendices
NASD Arbitration Case Flow
NASD Arbitration Trends
Errors-and-Omissions Insurance
Technology Tools
Index
About the Authors
Table of Contents provided by Publisher. All Rights Reserved.

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