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A newly licensed Futures Investment Advisor at Securities Trading Company, has just received an order from Jeffrey Verde, a regular client of a colleague and of the company. The firm''s research department is recommending that those contracts be sold. On further investigation, she realizes that the client has a high trading limit which he regularly exceeds, and that he also has a high level of exposure. She must decide how to responsibly handle this situation. This case, written from public documents, is based on an actual Ontario court case, although the names of the persons and firm involved and the dates have been disguised. The case is intended to highlight ethical and compliance issues that may arise in the securities industry.