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NASD ARBITRATION SOLUTION

Despite the fact that FINRA arbitration can become a career-defining, or even career-ending event, many within the financial community-especially Registered Representatives-are woefully unaware of how this system actually works. And while concerns surrounding FINRA arbitration continue to grow as case filings increase, there is still a lack of solid, clear, and helpful information that can guide you through this process. That's why Thomas Hine, with the help of John Brubaker, decided to write NASD Arbitration Solution.

While those who've faced FINRA 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 FINRA 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. Combining illustrative anecdotes and case studies with in-depth insights and practical advice, this definitive resource brings FINRA compliance issues to life and shows you how to deal with a well-intentioned system that has become increasingly hostile and costly.

"FIVE SIMPLE BUT POWERFUL PRINCIPLES"

The book:

• Completely details Hine's journey through arbitration, from pre-hearing preparation to testifying under oath, cross-examination, and closing arguments
• 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 FINRA arbitration-although in their opinion they have done nothing wrong-with the knowledge and tools to honestly defend themselves
• 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 savviest of financial professionals. So if you find yourself caught up in FINRA arbitration, you need NASD ARBITRATION SOLUTION.