Financial Services Industry Stumbles:
An Ongoing Series of Missteps

Recently Released!!!
Date Published: July 7, 2015
Summary Power Point Deck: 53 Slides
Reference Power Point Deck: 873 Slides

The purpose of this research is to provide readers with an initial understanding of financial services industry stumbles and their impact on the financial services industry, various products & services, various markets & distribution channels, and specific financial services firms. This research addresses prominent financial services industry stumbles such as the mutual funds late trading scandal, the stock analysts scandal, the Madoff Investments scandal, the LIBOR manipulation scandal, the Stanford Financial Group scandal, the Galleon Group scandal, the MF Global Holdings scandal, & the Peregrine Financial Group scandal.

Financial services industry stumbles can be grouped into four phases, including:
  • Insurance Industry Stumbles Phase
  • Insider Trading Phase
  • Mutual Funds Industry Stumbles Phase
  • Ponzi Schemes Phase

Financial services industry stumbles can also be grouped by perceived offender categories, including:

  • Hedge Fund Stumbles
  • Investment Bank Stumbles
  • Retail Bank Stumbles
  • Insurance Company Stumbles
  • Full-Service Brokerage Firm Stumbles
  • Investment Management Firm Stumbles
  • Retail Broker, Insurance Agent, & Retail Banker Stumbles
  • Independent Advisor Stumbles
  • Other Types of Firms Stumbles

This research supports three conclusions for financial services industry stumbles, including:

    • The Continuation of Sub-Standard Industry Ethics
    • Hedge Funds, Investment Banks, Retail Banks, & Insurance Companies Continue to be the Most Frequent Repeat Offenders
    • Limited Historical Regulator Enforcement Success with the Emergence of Rock Star Enforcers

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