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  • 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
  • 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
  • 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
  • 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
Keywords: by John Quelch; Auto; Retail
  • 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
  • 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
  • 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
  • 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
  • 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
  • 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... View Details
Keywords: 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... View Details
Keywords: Sean Silverthorne
  • 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... View Details
Keywords: by Carmen Nobel; Sports
  • 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
  • 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
  • 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
  • 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... View Details
Keywords: Martha Lagace
  • 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... View Details
Keywords: Sean Silverthorne
  • 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... View Details
Keywords: Sean Silverthorne

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