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- All HBS Web (232)
- Faculty Publications (103)
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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
Keywords: by D. Quinn Mills
- 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... View Details
Keywords: Dina Gerdeman
- 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... View Details
Keywords: 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... View Details
Keywords: Sean Silverthorne
- 05 Sep 2007
- First Look
First Look: September 5, 2007
Harvard Business School Case 406-033 In 2005, Tad Piper reflects on the successful spin-off from US Bancorp of Piper Jaffray, the investment bank founded by his grandfather. Profiles the development of Piper Jaffray from a Midwestern View Details
Keywords: Martha Lagace
- 13 Mar 2018
- First Look
March 13, 2018
real estate brokerage but helped home buyers and sellers save more money. Over time, in response to customer feedback, Redfin increased the level of customer service it provided while decreasing the amount customers saved, instead relying... View Details
Keywords: Sean Silverthorne
- 12 Oct 1999
- Research & Ideas
Where Main Street Meets Wall Street
competition has become the battle to simplify this overload and present it in manageable, user-friendly form to the consumer. In all these sectors of the industry, Tufano and the others agree, an increasingly important force is entering into the mix: the Internet. The... View Details
- 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. View Details
- 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
- 25 Sep 2012
- First Look
First Look: September 25
Fund Relationships Bias Analyst Recommendations? Authors: Michael Firth, Chen Lin, Ping Liu, and Yuhai Xuan Publication: Journal of Accounting Research (forthcoming) Abstract This article investigates whether the business relations between mutual funds and View Details
Keywords: Sean Silverthorne
- 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... View Details
Keywords: by David B. Yoffie & Mary Kwak
- 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:... View Details
Keywords: by Lynda M. Applegate
- 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... View Details
- 30 Oct 2007
- First Look
First Look: October 30, 2007
individual. We identify the moderators of brokerage and argue for contingent benefits, based on the interaction of structure with the attributes, career experiences, and extended networks of individuals and their collaborators. Using a... View Details
Keywords: Sean Silverthorne
- 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,... View Details
Keywords: by James Heskett
- 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
Keywords: 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... View Details
Keywords: Carmen Nobel
- 27 Mar 2018
- First Look
First Look at New Research, March 27, 2018
sell-side analysts employed at state-owned brokerages issued relatively optimistic earnings forecasts and stock recommendations during these periods. This relative optimism is particularly pronounced in earnings forecasts for larger firms... View Details
Keywords: Sean Silverthorne
- 17 Sep 2013
- First Look
First Look: September 17
Paul Healy, George Serafeim, and Devin Shanthikumar Abstract—Prior research on equity analysts focuses almost exclusively on those employed by sell-side investment banks and brokerage houses. Yet investment firms undertake their own... View Details
Keywords: Sean Silverthorne
- 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... View Details
Keywords: Martha Lagace