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BUS 670 Legal and ethical issues final 1
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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. 

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