The Do-Gooders in Research Get Burned
- THE TALKING CURE. Surowiecki, James // New Yorker;12/9/2002, Vol. 78 Issue 38, p54
Focuses on the prevalence of conflicts of interests among Wall Street stock analysts in New York City. Rule proposed by the New York Stock Exchange; Effort of restoring credibility to the financial services industry; Problem over biased decisions of analysts.
- Market Chatter Foretells increased Regulation. Conrad, Lee // U.S. Banker;Aug2006, Vol. 116 Issue 8, p41
The article focuses on the possibility of additional regulation of the separately managed account (SMA) market in the U.S. It has cited regulators may be focusing on areas of the SMA market that pose potential conflicts of interest for banks and other financial firms that sell them. The assets...
- Third-Quarter Bank Numbers? Don't Panic. // High Yield Report;9/24/2007, Vol. 18 Issue 36, p5
No abstract available.
- Chapter 13: Global money centre. // Guide to Wall Street;2003, p215
Chapter 13 of the book "The Economist: Wall Street" is presented. It discusses the role of New York as the principal domestic money center in the U.S. and as one of the three global money centers with London, England and Tokyo, Japan. New York offers a wide range of financial services...
- US investment banking: out of the frying pan into the fire. // MarketWatch: Financial Services;February 2003, Vol. 2 Issue 2, p10
Reports on the release of records of Wall Street banks' settlement of conflicts of interest investigations of Eliot Spitzer. Possibility of the filing of class action lawsuits by investors; Damage to finances and reputation; Evidences through electronic mails and interviews with bank employees.
- Another Prosecutor Goes to Wall Street. Lugo, Denise // Investment Dealers' Digest;6/14/2004, Vol. 70 Issue 24, p4
Reports that Beth Golden has joined Bear Stearns as global head of compliance. Criminal and civil investigation into whether the company helped Canary Capital Partners make illegal mutual fund trades; Golden's role in helping negotiate the agreements between the U.S. Securities and Exchange...
- SEC to Court: 'Global Settlement' Is Fair. // American Banker;6/17/2003, Vol. 168 Issue 115, p19
States that United States federal regulators, the Securities and Exchange Commission, proposed a $1.4 billion settlement with Wall Street firms for alleged conflict of interest.
- No conflict, no interest: on the economics of conflicts of interest faced by analysts. Forbes, William // European Journal of Law & Economics;Jun2013, Vol. 35 Issue 3, p327
This paper outlines evolution of the policy response to conflicts of interest analysts face in offering investment advice to investors when the company they follow may also buy merchant banking services from their employer. Both in the US and the UK on a both statutory and common law basis the...
- Conference Explores New World on Wall Street. // Financial Update;Apr-Jun2004, Vol. 17 Issue 2, p3
In the aftermath of well-publicized scandals in recent years, Wall Street firms have seen their credibility with investors fall and have been taken to task by legislative, regulatory, and judicial authorities. Newly enacted or proposed regulations seek to institute more control over these firms'...