Investment Bank Stumbles:
An Ongoing Series from Drexel Burnham Lambert to Barclays Energy Market Manipulation

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 investment bank 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 investment bank stumbles such as the stock analysts scandal, the initial public offering scandal, the LIBOR manipulation scandal, the fabulous fab scandal, the flash crash scandal, & the London whale scandal.

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

Investment bank stumbles can be defined to include dozens of stumbles, including:

  • Drexel Burnham Lambert
  • Joseph Jett
  • Salomon Brothers Treasury Bonds
  • Barings
  • Stock Analysts
  • Initial Public Offering Scandal
  • LIBOR Manipulation
  • Toxic Mortgages
  • Lehman Brothers Excessive Subprime Risk
  • Auction Rate Securities
  • Jefferies Group Mortgage Backed Securities Sales
  • Fabulous Fab
  • California Energy Market
  • Flash Crash
  • UBS $2.2 Billion Trading Loss
  • Facebook IPO
  • London Whale (Bruno Iksil)
  • Knight Capital Group Electronic Trading Glitch
  • Barclays Energy Market Manipulation

This research supports three conclusions for investment bank 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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