The newly designated division manager at a branch of PEB Securities was worried. He had just finished speaking to a sales assistant regarding a series of transactions that he made over the last few months. Earlier during the day, the division manager received a call from a client's attorney regarding the mishandling of her account by the business.
He wondered what his next strategy should be and which of the trades, if any, exposed the company to legal obligation, as he sat down to review the file again. The primary pedagogical goals of this case are to explore liability problems. Several trades are presented; in each scenario, students must examine ethical problems as well as the legal and decide to what extent the individual or firm can be held liable.
Publication Date: 07/20/1999
This is just an excerpt. This case is about Finance
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