How would you deal with the trader in the case

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Reference no: EM133497058

Problem: Warburton Becker and Chambers Investment Bankers Case Analysis

Question A. How should Getzen proceed with regards to their long-term client, Englander?

Question B. How should Getzen and Gibbons prepare for the Securities and Exchange Commission?

Question C. Given your capital resources, making up the difference in purchase price is not feasible. How would you deal with this downside liability?

Question D. Is there something wrong with your internal compliance program? Was it wrong for the trader and the analyst to have lunch?

Question E. If the phone call recording between your trader and the outside arbitrager was inconclusive, does that result in WBC being free and clear of negligence?

Question F. If there was indeed insider trading, does WBC have any legal recourse with Constitution Investments?

Question G. How would you deal with the trader in this case? Given that this employee was licensed, does this impact your decision on whether or not he should be terminated?

Question H. Should the analyst be treated differently than the trader? Didn't this employee also go through compliance training?

Question I. Can you hold either employee accountable if the recordings of the trader seemed inconclusive?

Question J. Given that investment banks live and die by reputation, how would you repair or preserve WBC's reputation as quickly as possible?

Reference no: EM133497058

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