Ethical and Legal Issues

In an Organization

Valery Taylor

BUS 670

Prof. Roger Little

February 9, 2015

Introduction

In many financial institutions around the country, there are independent investment and securities brokers. Each broker that operates under a financial institution must pass the broker license and complete a background check to assist and manage an investor's financial success. As a broker's book of business grows, he or she has to make sure that they are servicing each of the investor's portfolios. However, when greed becomes a part of some broker's characteristic, they look for ways to increase their gross dealer concession (GDC). In this paper,we will provide a description of business situations that presents a legal and ethical issue. In addition,we...