William Christopher Gerken

University of Kentucky - Finance

College of Business & Economics

Lexington, KY 40506-0034

United States

http://www.willgerken.com

  • University of Kentucky - Finance

SCHOLARLY PAPERS

22

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15,573

TOTAL CITATIONS
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Top 5,829

in Total Papers Citations

267

Scholarly Papers (22)

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1.

Finding Bernie Madoff: Detecting Fraud by Investment Managers

Number of pages: 62 Posted: 11 Sep 2009 Last Revised: 18 Jan 2011
Stephen G. Dimmock and William Christopher Gerken
National University of Singapore and University of Kentucky - Finance
Downloads 3,171 (8,245)
Citation 1

Abstract:

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Fraud, Investment Fraud, Operational Risk, Ponzi Scheme, SEC, Disclosure, Form ADV, Hedge Funds, Hedge Fund Fraud

2.

Watching the Watchdogs: Tracking SEC Inquiries using Geolocation Data

Number of pages: 50 Posted: 19 Sep 2024 Last Revised: 16 Jan 2025
William Christopher Gerken, Steven Irlbeck, Marcus Painter and Guangli Zhang
University of Kentucky - Finance, University of New Hampshire - Department of Accounting & Finance, Saint Louis University - Department of Finance and Washington University in St. Louis
Downloads 2,963 (9,158)

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SEC, Insider Trading, Geolocation Data, Security Market Regulation

3.

Is Fraud Contagious? Co-Worker Influence on Misconduct by Financial Advisors

Journal of Finance, Forthcoming
Number of pages: 66 Posted: 13 Mar 2015 Last Revised: 29 May 2024
Stephen G. Dimmock, William Christopher Gerken and Nathaniel Graham
National University of Singapore, University of Kentucky - Finance and Texas A&M International University
Downloads 1,107 (41,851)
Citation 97

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Financial advisors, Financial misconduct, Fraud, Social networks, Peer effects, Career networks

4.

The Value of Differing Points of View: Evidence from Financial Analysts' Geographic Diversity

Number of pages: 66 Posted: 18 Nov 2019 Last Revised: 04 Jan 2022
William Christopher Gerken and Marcus Painter
University of Kentucky - Finance and Saint Louis University - Department of Finance
Downloads 1,061 (44,422)
Citation 25

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Analysts, Fintech, Geography, Diversity, Forecasts, Liquidity

5.

Predicting Fraud by Investment Managers

Networks Financial Institute Working Paper No. 2011-WP-09
Number of pages: 47 Posted: 09 May 2011 Last Revised: 08 Aug 2011
William Christopher Gerken and Stephen G. Dimmock
University of Kentucky - Finance and National University of Singapore
Downloads 904 (55,466)
Citation 52

Abstract:

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Fraud, Investment Fraud, Operational Risk, SEC, Disclosure, Form ADV

6.

Real Estate Shocks and Financial Advisor Misconduct

Journal of Finance, Forthcoming
Number of pages: 75 Posted: 14 Jun 2018 Last Revised: 08 Feb 2021
Stephen G. Dimmock, William Christopher Gerken and Tyson D. Van Alfen
National University of Singapore, University of Kentucky - Finance and Southern Illinois University
Downloads 832 (62,201)
Citation 5

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Financial Advisors, Brokers, Financial Misconduct, Fraud, Household Finance, Real Estate

7.

Misconduct and Fraud by Investment Managers

Finance & Quantitative Methods Research Data, 2018, DOI/10.13023/nsjd-rk62.
Number of pages: 52 Posted: 21 Aug 2018
Stephen G. Dimmock, Joseph Farizo and William Christopher Gerken
National University of Singapore, University of Richmond - E. Claiborne Robins School of Business and University of Kentucky - Finance
Downloads 733 (73,527)
Citation 4

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Fraud, Investment Fraud, Investment Advisors, Investment Advisers, Operational Risk, Regulation, Disclosure, Form ADV

8.

The Importance of Family: The Role of Mutual Fund Family Reputation in Investment Decisions

Number of pages: 54 Posted: 15 Mar 2012 Last Revised: 05 Oct 2018
William Christopher Gerken, Laura T. Starks and Michael Yates
University of Kentucky - Finance, University of Texas at Austin - Department of Finance and University of Texas at Austin - McCombs School of Busiiness
Downloads 613 (92,384)

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individual investor portfolio choice, mutual fund families, reputation

9.

Childhood Exposure to Misbehavior and the Culture of Financial Misconduct

Number of pages: 53 Posted: 25 Apr 2019 Last Revised: 22 Apr 2024
Christopher P. Clifford, Jesse A. Ellis and William Christopher Gerken
University of Kentucky, North Carolina State University and University of Kentucky - Finance
Downloads 611 (92,797)
Citation 2

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Financial misconduct, Financial Advisors, Household Finance, Culture

10.

Property Rights to Client Relationships and Financial Advisor Incentives

Journal of Finance, Forthcoming
Number of pages: 65 Posted: 03 Nov 2017 Last Revised: 01 Dec 2020
Christopher P. Clifford and William Christopher Gerken
University of Kentucky and University of Kentucky - Finance
Downloads 584 (98,312)
Citation 20

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Property Rights, Labor Mobility, Financial Advisors, Non-Solicitation Agreements, Protocol for Broker Recruiting

11.

Hedge Fund Boards and the Market for Independent Directors

Number of pages: 58 Posted: 12 Dec 2014 Last Revised: 08 Nov 2017
Christopher P. Clifford, Jesse A. Ellis and William Christopher Gerken
University of Kentucky, North Carolina State University and University of Kentucky - Finance
Downloads 426 (144,131)
Citation 2

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hedge fund, hedge fund governance, directors, reputation

12.

Capital Gains Lock-In and Governance Choices

Downloads 408 (151,531)
Citation 32

Capital Gains Lock-In and Governance Choices

Number of pages: 57 Posted: 10 Jul 2013 Last Revised: 17 Nov 2016
Stephen G. Dimmock, William Christopher Gerken, Zoran Ivkovich and Scott J. Weisbenner
National University of Singapore, University of Kentucky - Finance, Michigan State University, Department of Finance and University of Illinois at Urbana-Champaign - Department of Finance
Downloads 373 (166,074)
Citation 22

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Mutual fund, Proxy voting, Corporate governance, Capital-gains tax, Lock-in effect

Capital Gains Lock-In and Governance Choices

NBER Working Paper No. w20176
Number of pages: 51 Posted: 02 Jun 2014 Last Revised: 17 Feb 2023
Stephen G. Dimmock, William Christopher Gerken, Zoran Ivkovich and Scott J. Weisbenner
National University of Singapore, University of Kentucky - Finance, Michigan State University, Department of Finance and University of Illinois at Urbana-Champaign - Department of Finance
Downloads 35 (958,083)
Citation 10

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13.

Regulatory Oversight and Return Misreporting by Hedge Funds

Number of pages: 34 Posted: 04 May 2013 Last Revised: 08 Apr 2016
Stephen G. Dimmock and William Christopher Gerken
National University of Singapore and University of Kentucky - Finance
Downloads 305 (208,429)
Citation 13

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Return misreporting, Hedge funds, Hedge fund regulation, Hedge fund registration

14.

Blockholder Ownership and Corporate Control: The Role of Liquidity

Number of pages: 47 Posted: 09 Jul 2014
William Christopher Gerken
University of Kentucky - Finance
Downloads 295 (215,821)
Citation 7

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Blockholder, Liquidity , Corporate Governance, Activism

15.

Third Party Quality Certification in the Market for Financial Advice

Number of pages: 65 Posted: 11 Jul 2022 Last Revised: 31 Aug 2023
William Christopher Gerken and Morteza Momeni Shahraki
University of Kentucky - Finance and University of Kentucky - Finance
Downloads 278 (229,524)

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Financial Advisors, Barron's Rankings, Third-party certification, Reputation, Financial Misconduct

16.

What Determines the Allocation of Managerial Ownership within Firms? Evidence from Investment Management Firms

Number of pages: 62 Posted: 03 Sep 2010 Last Revised: 08 Nov 2017
Stephen G. Dimmock, William Christopher Gerken and Jennifer Marietta-Westberg
National University of Singapore, University of Kentucky - Finance and U.S. Securities and Exchange Commission
Downloads 276 (231,224)
Citation 4

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Manager Ownership, Managerial Ownership, Employee Ownership, Agency, Incentives, Institutional Investment Managers

17.

On the Road to Better Governance: Private Meetings and Mutual Fund Voting

Number of pages: 64 Posted: 01 Feb 2022 Last Revised: 17 Aug 2022
Jesse A. Ellis, William Christopher Gerken and Russell Jame
North Carolina State University, University of Kentucky - Finance and University of Kentucky - Gatton College of Business and Economics
Downloads 268 (239,103)
Citation 2

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Mutual fund voting, private meetings, non-deal roadshows, corporate governance, ISS

18.

Where is the Intersection of Madison Avenue and Wall Street? Advertisement, Local Access to Investment Advice, and Stock Market Participation

Number of pages: 57 Posted: 01 Sep 2021 Last Revised: 21 Jan 2025
Joseph Farizo, William Christopher Gerken and Ge Wu
University of Richmond - E. Claiborne Robins School of Business, University of Kentucky - Finance and University of Richmond
Downloads 201 (315,023)

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Stock market participation, Advertising, Trust, Local Access to Finance, Investment advisers

19.

Racial Concordance in the Market for Financial Advice

The Review of Corporate Finance Studies
Number of pages: 46 Posted: 12 Jan 2023 Last Revised: 28 Feb 2023
Christopher P. Clifford, William Christopher Gerken and Tian Qiu
University of Kentucky, University of Kentucky - Finance and University of Alabama - Department of Economics, Finance and Legal Studies
Downloads 176 (355,463)

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Stock Market Participation, Financial Advisors, Race, Concordance

20.

The Impact of Broker Geography on Retail Investor Behavior

Number of pages: 37 Posted: 28 Dec 2021
Daniel Bradley, William Christopher Gerken and Jared Williams
University of South Florida, University of Kentucky - Finance and University of South Florida
Downloads 157 (392,476)

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Broker geography, financial advisors, analyst recommendations, retail investor behavior

21.

A Test for Long Memory in the Conditional Correlation of Bivariate Returns to Stock and Bond Market Index Futures

Number of pages: 22 Posted: 04 Aug 2011
Kirt C. Butler, William Christopher Gerken and Katsushi Okada
Michigan State University, University of Kentucky - Finance and Michigan State University
Downloads 125 (470,987)
Citation 1

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Long memory, FIGARCH, DCC, conditional volatility, conditional correlation

22.

Death of a Salesman's Manager: Conflicted Supervision and the Dark Side of Soft Information

Number of pages: 70 Posted: 06 Dec 2024 Last Revised: 13 Mar 2025
Stephen G. Dimmock, Jesse A. Ellis and William Christopher Gerken
National University of Singapore, North Carolina State University and University of Kentucky - Finance
Downloads 79 (641,998)

Abstract:

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Financial Advisors, Financial Misconduct, Household Finance, Collusion, Supervision, Information asymmetry, Ethics,