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- All HBS Web (222)
- Faculty Publications (102)
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- 04 Dec 2000
- What Do You Think?
Have We Overdone Deregulation and Privatization?
industry, and then into areas such as brokerage fees and other professional services. In recent years, the deregulation movement has spread to industries with which consumers interact daily, such as electric power and telephone service,...
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by James Heskett
- 11 Mar 2014
- First Look
First Look: March 11
https://www.hbs.edu/faculty/Pages/item.aspx?num=46651 The Use of Broker Votes to Reward Brokerage Firms' and Their Analysts' Research Activities By: Maber, David A., Boris Groysberg, and Paul M. Healy Abstract—In traditional markets, the...
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Sean Silverthorne
- 16 Apr 2013
- First Look
First Look: April 16
top management wondered how to best strengthen their brokerage team. The acquisition of Spaulding and Slye, a renowned Boston-based firm, provided instant growth in some key markets, but organic growth was harder to achieve. While the...
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Sean Silverthorne
- 19 Feb 2007
- Research & Ideas
Inexperienced Investors and Market Bubbles
understanding the effects of inexperience more broadly. We are working on a project that looks at individual investors' trading decisions in their brokerage accounts.
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- 28 Apr 2014
- Research & Ideas
Football Stars Debate ‘The Social Capital of the Savvy Athlete’
October, startup Fantex Brokerage Services announced plans to sell stocks related to the star power of an individual athlete's brand. Its first trading stock, which will mark the company's initial public offering, "will be linked to...
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- 05 Jul 2017
- Research & Ideas
Are Stockbrokers Illegally Leaking Confidential Information to Favored Clients?
information about large stock trades to their best, most lucrative clients. When a savvy activist investor submits a trading order through a brokerage firm, for example, the brokers will exploit this information by telling their favorite...
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- 12 Aug 2002
- Research & Ideas
‘Let the Buyer Beware’ Doesn’t Protect Investors
selling shares. But the banks weren't alone in this conflict of interest—it existed in the mutual funds as well. In the funds, brokerage—the sell side of the financial market, and mutual funds—the buy side of the market, had a potential conflict. View Details
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by D. Quinn Mills
- 19 Mar 2008
- Research & Ideas
Finding Success in the Middle of the Market
company control midfield by playing only in midfield? The answer is "yes" but only if there is a precise and persuasive value proposition. Until three years ago, Charles Schwab had lost its way. The former king of discount View Details
- 30 Sep 2008
- First Look
First Look: September 30, 2008
brokerage firm size and status, and recommendation boldness. The changes have a large and significant impact on the classification of trading signals and back-tests of three stylized facts: The profitability of trading signals, the...
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Martha Lagace
- 16 Jul 2001
- Research & Ideas
How to Compete Like a Judo Strategist
"If you're going to have to face the music eventually, why wait?" Pottruck and his team made the tough decision to cannibalize their successful discount brokerage business in favor of Internet trading and ultimately integrated...
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by David B. Yoffie & Mary Kwak
- 12 Feb 2008
- First Look
First Look: February 12, 2007
recommendation levels, additions and deletions of records, and removal of analyst names. The changes appear non-random across brokerage firms, analysts, and tickers, and have a significant impact on the overall distribution of...
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Martha Lagace
- 08 Jul 2002
- Research & Ideas
How to Fashion Your New E-Business Model
products; these companies are now content aggregators, portals, and media companies. At the same time, non-high-tech businesses, such as Charles Schwab, are becoming technology infrastructure providers. David Pottruck, co-CEO of Charles Schwab, explained:...
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by Lynda M. Applegate
- 01 Mar 2011
- First Look
First Look: March 1
case:http://cb.hbsp.harvard.edu/cb/product/911033-PDF-ENG Sidoti & Company: Launching a Micro-Cap Product Boris Groysberg, Paul M. Healy, and Sarah L. AbbottHarvard Business School Case 411-072 It is 2010 and Sidoti & Company, a New York-based View Details
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Sean Silverthorne
- 15 Apr 2014
- First Look
First Look: April 15
firms less pessimistically, and eventually they assess them optimistically. Furthermore, we find that more experienced analysts and analysts at higher-status brokerage houses are the first to shift the relation between CSR ratings and...
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Sean Silverthorne
- 20 Dec 2011
- First Look
First Look: December 20
analyses indicate that "All-Star" recognition proxies for buy-side client votes on analyst research quality used to allocate commissions across banks and analysts. Taken as a whole, our evidence is consistent with analyst compensation being designed to reward...
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Carmen Nobel
- 25 Feb 2014
- First Look
First Look: February 25
assess them optimistically. Furthermore, we find that more experienced analysts and higher-status brokerage houses are the first to shift the relation between CSR ratings and investment recommendation optimism. We find no significant link...
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Sean Silverthorne
- 04 Sep 2018
- First Look
New Research and Ideas, September 4, 2018
return for selling data to utilities? Purchase this case:https://hbsp.harvard.edu/product/715455-PDF-ENG Harvard Business School Case 719-411 Edward Jones: Implementing the Solutions Approach In 2017 Edward Jones, the largest brokerage...
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Dina Gerdeman
- 19 Nov 2007
- Lessons from the Classroom
Teaching The Moral Leader
25-year business career that included 10 years in fashion retailing; 12 years in mutual fund and brokerage financial services; serving as a director on nonprofit and corporate boards; and chairing the Better Business Bureau here in...
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- 15 Dec 2009
- First Look
First Look: Dec. 15, 2009
we find it difficult to identify the tangible benefits delivered by brokers. While brokerage customers are directed toward funds that are harder to find and evaluate, they pay substantially higher fees and the funds they buy have lower...
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Martha Lagace
- 07 Aug 2012
- First Look
First Look: August 7
had to decide whether or not to spin off its brokerage business. Man was also evaluating several new business opportunities with varying strategic and financial rationales. After the financial crisis, Man had to decide what to do in the...
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Sean Silverthorne