Bad Behavior in the Financial Industry
A sizeable number of financial services professionals said they have either observed, have firsthand knowledge of or feel pressured to engage in unlawful or unethical behavior, according to a new survey.
The survey was conducted by Labaton Sucharow, a law firm that specializes in protecting and advocating for Securities and Exchange Commissionwhistleblowers. The firm asked 500 senior-level finance professionals in the United States and the United Kingdom (mostly in New York and London) about ethics and illegal activity in the financial services industry.
Among the survey’s findings were:
...To continue reading this article you must be registered with AAII.
Already registered with AAII? Login to read the rest of this article.
to read this article and receive access to future AAII.com articles.