From Vanguard's Code of Conduct: "Vanguard was founded with a singular focus on clients and serving their best interests. That the interests of our clients should always come first is foremost among our values. The Vanguard crew, the people who serve our clients and steward their assets with dedication, integrity, and passion, are critical to our success. We recognize that good ethics are good business, and we adhere to a simple motto: Do the right thing. This focus has been the foundation of our strong ethical culture and our core purpose, 'To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.' We fulfill that purpose and bring to life Vanguard's commitment to integrity and stewardship by adhering to the highest standards of ethical behavior and being steadfast in our principles."

"I'd converted a client over to our firm, and it ended up being a rather large account. My superiors were pleased, and I was beginning to build a portfolio, thanks to this client referring a good deal of other clients my way. Then, about a month in, I learned that this client was actually an old high school friend of my aunt's and that they had recently reconnected, and that's when they made the connection that they both had me in common. But this presented a huge conflict of interest. So, with great disappointment, I had to pass this client and all the clients they'd referred to me, onto my leadership team, to reassign to other representatives. Suddenly, my portfolio looked pretty barren again. But my reputation was on the line, and not coming forward would have violated my sense of integrity, and our code of conduct."

If you've ever been in a situation where you were put in the unfortunate position of having to report unethical conduct at work, how you went about will serve as just as much of a reflection of your integrity as speaking up about it. Your reasons for "doing the right thing" hold just as much value as the empathy you displayed and your conduct in handling this sensitive matter. So avoid speaking poorly of any individual and simply present the situation and the results of your action. You want to present yourself as a contributor to the solution to the problem, not as a contributor to the problem itself.