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- All HBS Web (421)
- Faculty Publications (112)
Show Results For
- All HBS Web (421)
- Faculty Publications (112)
- October 2008
- Article
Sociopolitical Dynamics in Relations Between Top Managers and Security Analysts: Favor Rendering, Reciprocity, and Analyst Stock Recommendations
By: James Westphal and Michael B. Clement
We examine how the disclosure of negative firm information may prompt top executives to render personal and professional favors for security analysts, who may reciprocate by rating firms relatively positively. We further examine how negative ratings may prompt... View Details
Westphal, James, and Michael B. Clement. "Sociopolitical Dynamics in Relations Between Top Managers and Security Analysts: Favor Rendering, Reciprocity, and Analyst Stock Recommendations." Academy of Management Journal 51, no. 5 (October 2008): 873–897.
- January 2015 (Revised October 2018)
- Case
Dogs of the Dow
By: Malcolm Baker, Samuel G. Hanson and James Weber
This case describes the Dogs of the Dow investment strategy, value investing, and using dividend yields as a means to determine intrinsic value. It also describes exchange traded notes and a particular exchange traded note, known as the Dogs of the Dow, which tracks... View Details
Keywords: Dow Jones; Dow Jones Industrial Average; Exchange Traded Note; Exchange Traded Fund; Value Investing; Benjamin Graham; Investment Strategy; Dividend Yield; Intrinsic Value; Dividend Discount Model; Michael O'Higgins; Financial Instruments; Investment; Strategy; Financial Services Industry; United States
Baker, Malcolm, Samuel G. Hanson, and James Weber. "Dogs of the Dow." Harvard Business School Case 215-020, January 2015. (Revised October 2018.)
- December 2011 (Revised May 2015)
- Case
Aviva Investors
By: George Serafeim
The Aviva Investors case describes the challenge of integrating sustainability considerations into the strategy and business practices of companies and into the decision making process of the investment community. Steve Waygood, Chief Responsible Investment Officer at... View Details
Keywords: Investing; Investment Management; Shareholder Activism; Disclosure; Stock Exchanges; Sustainability; Sustainable Development; Sustainability Reporting; ESG; ESG (Environmental, Social, Governance) Performance; Social Impact; Activism; Investment; Management; Business and Shareholder Relations; Environmental Sustainability; United Kingdom
Serafeim, George, Robert G. Eccles, and Kyle Armbrester. "Aviva Investors." Harvard Business School Case 112-047, December 2011. (Revised May 2015.)
- November 2005 (Revised December 2016)
- Case
Bally Total Fitness (A): The Rise, 1962–2004
By: John R. Wells, Elizabeth A. Raabe and Gabriel Ellsworth
From a single, modest club in 1962, Bally Total Fitness had grown to become—in management’s words—the “largest and only nationwide commercial operator of fitness centers” in the United States in 2004. Bally had faced its share of challenges, but the last couple of... View Details
Keywords: Bally Total Fitness; Fitness; Gyms; Health Clubs; Chain; Securities And Exchange Commission; Paul Toback; Weight Loss; Exercise; Contracts; Personal Training; Retention; Accounting; Accounting Audits; Accrual Accounting; Finance; Advertising; Business Growth and Maturation; Business Model; For-Profit Firms; Customers; Customer Satisfaction; Public Equity; Financing and Loans; Revenue; Revenue Recognition; Geographic Scope; Multinational Firms and Management; Health; Nutrition; Business History; Lawsuits and Litigation; Management; Business or Company Management; Goals and Objectives; Growth and Development Strategy; Marketing; Operations; Service Delivery; Service Operations; Public Ownership; Problems and Challenges; Business and Shareholder Relations; Business Strategy; Competition; Corporate Strategy; Expansion; Segmentation; Trends; Cost Management; Profit; Growth and Development; Leadership Style; Five Forces Framework; Private Ownership; Opportunities; Motivation and Incentives; Competitive Strategy; Health Industry; United States; Illinois; Chicago
Wells, John R., Elizabeth A. Raabe, and Gabriel Ellsworth. "Bally Total Fitness (A): The Rise, 1962–2004." Harvard Business School Case 706-450, November 2005. (Revised December 2016.)
- 01 Mar 2023
- News
Elevator Pitch: Spread the Wealth
a dual purpose. First, to help companies build loyalty with employees and customers and to introduce individuals to share ownership. In addition to receiving share rewards, Upstreet users can buy shares on the Australian and New York View Details
- October 2005 (Revised February 2006)
- Case
ICEX: Making a Market in Iceland
Examines the impact of increased performance on the international visibility and positioning of the Icelandic Stock Exchange. Allows consideration of various options for stock exchange growth that are created by Iceland's strong economic performance in recent years.... View Details
Miller, Gregory S., and Brian DeLacey. "ICEX: Making a Market in Iceland." Harvard Business School Case 106-038, October 2005. (Revised February 2006.)
- November 2011 (Revised September 2012)
- Case
Underwater Engineer at Intel Corporation
Molly Miller, an Intel employee and shareholder, must decide whether to vote FOR or AGAINST Intel's proposed 2009 option exchange program. Given recent declines in Intel's stock price, more than 99% of Intel's outstanding employee stock options are "underwater," and... View Details
Mayfield, E. Scott. "Underwater Engineer at Intel Corporation." Harvard Business School Case 212-047, November 2011. (Revised September 2012.)
- September 2011 (Revised February 2013)
- Case
Sino-Forest (A)
By: David F. Hawkins and David Lane
Chinese company listed on the Toronto Stock Exchange is accused of fraud by a hedge fund. View Details
Keywords: Business Earnings; Crime and Corruption; Financial Markets; Investment Funds; Management Analysis, Tools, and Techniques; China
Hawkins, David F., and David Lane. "Sino-Forest (A)." Harvard Business School Case 112-004, September 2011. (Revised February 2013.)
- 15 Jan 2019
- Working Paper Summaries
The Creation and Evolution of Entrepreneurial Public Markets
- 19 Jan 2021
- Video
Hemendra Kothari
Hemendra Kothari, chairman of DSP Investment Managers in India, discusses how his firm reacted to the Harshad Mehta Stock Exchange scam in 1992. View Details
- November 2002 (Revised June 2003)
- Case
NYSE vs. NASDAQ: International Competition
By: Estelle S. Cantillon and Tarun Khanna
Compares and contrasts the international strategies of the New York Stock Exchange and NASDAQ as they looked overseas for new sources of growth in the late 1990s. View Details
Cantillon, Estelle S., and Tarun Khanna. "NYSE vs. NASDAQ: International Competition." Harvard Business School Case 703-435, November 2002. (Revised June 2003.)
- January 2017
- Case
The Six CEOs of Tyco International Ltd.
By: John R. Wells and Gabriel Ellsworth
In September 2016, Johnson Controls, Inc. completed the acquisition of Tyco International PLC, a $9.9 billion business with operating profits of $884 million. The purchase consideration was $14.4 billion. Although the deal was billed as a merger, Ireland-based Tyco... View Details
Keywords: Tyco; Dennis Kozlowski; Edward Breen; Fire Safety; Fire Protection; Security; Packaging; Securities And Exchange Commission; Fraud; Accounting; Accounting Audits; Earnings Management; Financial Statements; Goodwill Accounting; Acquisition; Mergers and Acquisitions; Business Conglomerates; Business Divisions; Business Exit or Shutdown; Business Growth and Maturation; Business Headquarters; Business Model; Business Organization; For-Profit Firms; Restructuring; Crime and Corruption; Engineering; Applied Optics; Chemicals; Construction; Metals and Minerals; Ethics; Finance; Cash Flow; Public Equity; Stock Options; Financing and Loans; Initial Public Offering; Profit; Revenue; Geographic Location; Geographic Scope; Global Range; Globalized Firms and Management; Multinational Firms and Management; Corporate Accountability; Corporate Disclosure; Health Care and Treatment; Business History; Executive Compensation; Selection and Staffing; Courts and Trials; Lawfulness; Lawsuits and Litigation; Business or Company Management; Goals and Objectives; Growth and Development Strategy; Market Entry and Exit; Public Ownership; Problems and Challenges; Strategy; Business Strategy; Competition; Competitive Strategy; Competitive Advantage; Consolidation; Corporate Strategy; Diversification; Expansion; Horizontal Integration; Value; Chemical Industry; Construction Industry; Consumer Products Industry; Electronics Industry; Energy Industry; Industrial Products Industry; Manufacturing Industry; Medical Devices and Supplies Industry; Mining Industry; Pharmaceutical Industry; Semiconductor Industry; Telecommunications Industry; Utilities Industry; Republic of Ireland; Switzerland; Bermuda; United States; New Hampshire
Wells, John R., and Gabriel Ellsworth. "The Six CEOs of Tyco International Ltd." Harvard Business School Case 717-459, January 2017.
- Video
Nicky Newton-King
Nicky Newton-King, former CEO of the Johannesburg Stock Exchange, outlines the steps she took to innovate and transform the exchange into one that was representative of South Africa’s population. View Details
- March 1992 (Revised December 1992)
- Case
Harley-Davidson, Inc.--1987
By: W. Carl Kester and Julia Morley
After an LBO and near bankruptcy in the early 1980s, Harley-Davidson makes an astonishing recovery, going public in 1986. Its listing on the New York Stock Exchange in 1987 provides the occasion of an equity analyst to publish a research report in which she must issue... View Details
Keywords: Leveraged Buyouts; Currency Exchange Rate; Reports; Crisis Management; Going Public; Research; Competition; Auto Industry; Japan; New York (city, NY)
Kester, W. Carl, and Julia Morley. "Harley-Davidson, Inc.--1987." Harvard Business School Case 292-082, March 1992. (Revised December 1992.)
- 2009
- Other Unpublished Work
The Pecora Hearings
By: David Moss, Cole Bolton and Eugene Kintgen
In 1932, in the depths of the Great Depression, the Senate Banking Committee began a much-publicized investigation of the nation's financial sector. The hearings, which came to be known as the Pecora hearings after the Banking Committee's lead counsel Ferdinand... View Details
- December 2014 (Revised November 2015)
- Case
Alibaba Goes Public (A)
In 2014 Alibaba debuted on the New York Stock Exchange, creating not only the largest IPO in history but this initial desire to list on the Hong Kong Stock Exchange was denied due to the company's desire to preserve its partner's control over decision rights. Why did... View Details
Keywords: Dual-class Share Structure; Alibaba; IPOs; VIE; Corporate Governance; Financial Services Industry; United States; Hong Kong; China
Palepu, Krishna, Suraj Srinivasan, Charles C.Y. Wang, and David Lane. "Alibaba Goes Public (A)." Harvard Business School Case 115-029, December 2014. (Revised November 2015.)
- March 1989 (Revised August 1994)
- Case
Avon Products
Avon Products announced both a change in its business focus and a reduction of its dividend in June 1988. To offset the likely stock price effect of the dividend reduction, Avon announced at the same time an unusual exchange offer, under which it would take up to 25%... View Details
Tiemann, Jonathan. "Avon Products." Harvard Business School Case 289-049, March 1989. (Revised August 1994.)
- December 2010 (Revised June 2018)
- Case
The Pecora Hearings
By: David Moss, Cole Bolton and Eugene Kintgen
In 1932, in the depths of the Great Depression, the Senate Banking Committee began a much-publicized investigation of the nation's financial sector. The hearings, which came to be known as the Pecora hearings after the Banking Committee's lead counsel Ferdinand Pecora,... View Details
Keywords: Financial Crisis; Fairness; Borrowing and Debt; Financial Institutions; Debt Securities; Stocks; Governing Rules, Regulations, and Reforms; Government Legislation; History; Financial Services Industry; United States
Moss, David, Cole Bolton, and Eugene Kintgen. "The Pecora Hearings." Harvard Business School Case 711-046, December 2010. (Revised June 2018.)
- January 1994 (Revised July 1994)
- Case
Dell Computer Corporation
By: Peter Tufano
Tina Chen, chief investment officer of a large insurance company, hears accusations by a Kidder Peabody equity research analyst that Dell Computer Corp. might be improperly accounting for what he suspects are large foreign exchange losses resulting from speculation.... View Details
Keywords: International Accounting; Financial Instruments; Ethics; Financial Statements; Computer Industry; United States
Tufano, Peter, and Jon Headley. "Dell Computer Corporation." Harvard Business School Case 294-051, January 1994. (Revised July 1994.)
- January 2008 (Revised March 2009)
- Case
Fortress Investment Group
By: Malcolm Baker, Carlos M. Galvez and James Quinn
CEO Wesley Edens and the five Fortress principals are contemplating a move unprecedented in the industry: becoming the first hedge fund and private equity firm to complete an IPO on the New York Stock Exchange (NYSE). This case examines potential reasons for a leading... View Details
Keywords: Private Equity; Public Equity; Initial Public Offering; Investment Funds; Going Public; Valuation; Financial Services Industry
Baker, Malcolm, Carlos M. Galvez, and James Quinn. "Fortress Investment Group." Harvard Business School Case 208-080, January 2008. (Revised March 2009.)