The senior vice-president and managing director at a branch of National Securities has to decide what to do about a series of seemingly irregular transactions by a vice-president, one of the top producers at the branch. When questioned regarding these transactions, the vice-president, at first calmly and then angrily, made assurances that they were completed in the best interest of the clients and were handled in his usual professional manner. The primary objective of this case is to introduce students to several common ethical dilemmas in the securities industry. Discretionary trading and duty of care are topics that can be explored and debated.
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