DECISION
MAKING &
Group
1: Nguyen Thuy
CASE
Duong
SUMMARY
1.
2.
3.
4.
CASE SUMMARY
ISSUES OF CASE
ADVANTAGE & DISADVANTAGE
PRESSURE
1. CASE SUMMARY
SUMMARY
Obtain prestigious brokerage
jobs
in the New York area
Learn to add some expenses
to their
professions such as try to
look
and act successful
Also used a strategy: get
information
from people with a little alcohol
in
their client gain significant
profits in their portfolios
SUMMARY
SUMMARY
The Chens soon have enough
money to make their own
investment
Old
managemen
t
MARYS
FATHER
Help Albert
place
Chens
trade before
the client
order
BARRY
SUMMARY
Mary forwarded email with off-color jokes and nude photos
without checking
That person were found and fired
Mary did forward messages that contained such material,
so the head of her division decided to fire her
Because of this mess, SEC wanted to check all her trades
for the last 8 month
SUMMARY
COME
BACK TO
TAIWAN
ALBERTS PARENTS
SUMMARY
Albert tried to make up
for the loss by trading in
some high risk markets.
But many of these
investment evaporated.
The investment of him,
as well as his clients, was
a big mess
Some of his uncles
friends portfolios were
losing significant value.
SUMMARY
asked for inside information on
several companies where Albert was
working with for an IPO
NO
Agree or
Disagree?
SUMMARY
ask for a specific order
to buy the stock as soon
as possible and sell
stock when the price
goes to $112
Albert will receive a little
bonus for that action.
=> Argee or
Disagree?
ALBERTS
SUPERVISOR
2.ISSUES OF CASE
ETHIC ISSUE
Sexual
Harassme
nt
Confli
ct of
Intere
st
ETHI
C
ISSU
E
Inside
r
Tradin
g
Sexual Harassment
Insider Trading
Get inside information after the
players has one too many drinks.
A very hot IPO->talk to some of his
best venture-capital friends.
Mary informed her best clients about
a company interested in doing a
hostile takeover.
Conflict of Interest
Choose to invest in high-risk market,
he chooses his own interest over the
interest of his clients.
Has financial problem, he invested in
some high-risk market using his own
money as well as those of his clients
without informing to his clients.
LEGAL ISSUE
Laws
protectin
g
consume
rs
Law
regulatin
g
competit
ion
LEG
AL
ISSU
E
janitor there)
Barry has demanded for inside
information on several companies
that Albert was working with for an
IPO
3. ADVANTAGES &
DISAVANTAGES
NO
NO
4. PRESSURE
ALBERT CHEN
Pressure of expensive cars,
house, luxury lifestyle and
others items to fit tin with the
crowd.
The investments without
permission turned into black
Barry, his friend asked him for
some inside information of
several companies...
His supervisor asked him to
buy some stock as soon as the
market opens
MARY CHEN
The need to find for her father
a better management at the
hospital
The worst mail was sent for her
and asking her to forward them
The fire of SEC -> their income
was cut in half
-> she may
never got the same job again
The Albert's parents weren't
happy with her - a non Chinese
woman
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FOR
YOUR
LISTENIN