Thomas Hine had been working as a Registered Representative for more than a decade when, without warning, he became the subject of an investor complaint to the NASD—and was forced to go through NASD arbitration to resolve the dispute. While many in his position would shy away from discussing this experience, Hine, with the help of John Brubaker, decided to share his story and provide you with invaluable instructional and motivational information regarding the costly and time–consuming NASD arbitration process; how you can grow your financial services practice; minimize the chances of an investor complaint; and properly respond to one, if necessary. NASD Arbitration Solution presents an entirely new approach to the subject of compliance. It combines courtroom drama, vivid anecdotes, analogies, humor, philosophy, and practical "how to" advice to create the definitive one–stop resource for Registered Representatives on one of the most talked about subjects in the...

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