NASD Arbitration Solution
Five Black Belt Principles to Protect and Grow Your Financial Services Practice
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|Format:||eBook (Glassbook), 336 pages, 1st Edition|
|Other Information: ||Relay time: 0min|
|Published In: ||United States, 30 June 2007|
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.
About the Author
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.
|Publisher: ||John Wiley & Sons, Inc.|