What role should (or might have) the firm’s Ethics and Compliance Officer played in this drama? 

1. Did Corzine act appropriately? How would you characterize his behavior  legally, ethically, and managerially? What other choices did he have?

2.Did Ms. O’Brien behave appropriately? Realistically, what other choices did she have?

3.Should the actions of either Corzine or O’Brien (or both or neither) be  considered criminally negligent? Unethical? Bad judgment? Other?

4.What role should (or might have) the firm’s Ethics and Compliance Officer played in this drama?