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- Faculty Publications (102)
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- 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...
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Sean Silverthorne
- 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...
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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,...
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by James Heskett
- 12 Feb 2019
- First Look
New Research and Ideas, February 12, 2019
Brokerage and Brokering: An Integrative Review and Organizing Framework for Third Party Influence By: Halevy, Nir, Eliran Halali, and Julian Zlatev Abstract— Brokerage and brokering are pervasive and...
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Dina Gerdeman
- 23 Sep 2008
- First Look
First Look: September 23, 2008
explores the determinants of observed analyst-firm pairings. We adopt an analyst/brokerage house perspective that allows us to examine not only firm-level characteristics as in prior research but also attributes of the analyst and the analyst's View Details
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Martha Lagace
- 11 Apr 2000
- Research & Ideas
Financial Services 24/7
customers to take their business elsewhere. With new Internet-only banks and brokerages popping up regularly, established firms must find innovative ways to hold onto their customers. "Traditionally, strategy was institutionally...
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by Susan Young
- 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
- 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
- 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
- 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
- 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
- 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
- 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...
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Sean Silverthorne
- 11 Mar 2014
- First Look
First Look: March 11
https://pubwww.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
- 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
- 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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- 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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- 31 Jul 2012
- First Look
First Look: July 31
company had consciously diversified its portfolio of investment products. In 2007 Man had to decide whether or not to spin off its brokerage business. Man was also evaluating several new business opportunities with varying strategic and...
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Carmen Nobel
- 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