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The FINRA Arbitration Cases of Tomorrow Are Being Created Today The Steps You Take Today May Save Your Practice and Increase Your Peace of Mind Learn from a Top Producer The threat of FINRA arbitration hangs over the head of every Registered Representative every day in the business. It is well known that market downturns lead to increased filings. Between 2000 and 2003, annual FINRA arbitration annual filings increased by 50%. During this increasingly nervous market, this issue is relevant as never before in the past several years. The cost for a rep to defend himself or herself through an entire FINRA arbitration process in time, money, emotional stress, and lost opportunity typically involves tens of thousands of dollars, and can be in excess of $100,000. Any award or settlement of $10,000 or more becomes a permanent part of a rep’s record, with far-reaching negative career consequences. Which of your clients represent the greatest potential threat? What can you do today to minimize the risk of a complaint and, if necessary, successfully defend yourself in the arena of FINRA Arbitration? Written by Tom Hine, a million-dollar producer, detailing his own experience with arbitration and how he has built his practice, this book contains a never-before-seen look inside the FINRA arbitration process. Easy reading, vivid in detail, instructive, it is the best possible investment you can make to be sure that you are both protecting and growing your practice at the same time. Think of it as the “Physicians Desk Reference” for Certified Financial Planners – and an absolute must for anyone who becomes involved in the FINRA Arbitration Process. |
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