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

By Thomas J. Hine and John K. Brubaker

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.

• Language: English
• Publisher: Wiley
• Release date: Sep 21, 2007
• ISBN: 9780470165911

Thomas J. Hine

Tom Hine is the founder of Capital Wealth Management in Connecticut, with over thirty years of experience in the financial services industry. He is a chairman's level advisor (top 4 percent) at his broker/dealer, Commonwealth Financial Network, the country's largest privately-held broker/dealer, with approximately $273 billion in assets under management. Tom's wealth management journey started after receiving his MBA from the University of Connecticut in 1986. His lifelong interest in the intersection between wellness and wealth precipitated his focus on the importance of investing in health. Tom is the author of two previous books, NASD Arbitration Solution: Five Black Belt Principles to Protect and Grow Your Financial Services Practice and The Zen of Business Acquisitions. He also hosts the SuccessionFit Podcast, a monthly podcast that explores the world of succession and continuity planning through the lens of health, wellness, and eastern philosophy. Tom is a fourth-degree black belt in Shotokan Karate. He has been practicing his craft for more than thirty-five years and studying primarily under the esteemed Sensei Masataka Mori; he also attended many summer camps taught or led by Sensei Hidetaka Nishiyama and Sensei Keinosuke Enoeda.

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