William Christopher Gerken

University of Kentucky - Finance

College of Business & Economics

Lexington, KY 40506-0034

United States

http://www.willgerken.com

SCHOLARLY PAPERS

18

DOWNLOADS
Rank 7,069

SSRN RANKINGS

Top 7,069

in Total Papers Downloads

8,786

SSRN CITATIONS
Rank 12,069

SSRN RANKINGS

Top 12,069

in Total Papers Citations

74

CROSSREF CITATIONS

25

Scholarly Papers (18)

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 2,799 (6,410)
Citation 1

Abstract:

Loading...

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

2.

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: 25 Jan 2018
Stephen G. Dimmock, William Christopher Gerken and Nathaniel Graham
National University of Singapore, University of Kentucky - Finance and Texas A&M International University
Downloads 877 (37,714)
Citation 24

Abstract:

Loading...

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

3.

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 726 (48,781)
Citation 18

Abstract:

Loading...

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

4.

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 552 (69,267)
Citation 5

Abstract:

Loading...

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

5.

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 537 (71,708)
Citation 1

Abstract:

Loading...

Analysts, Fintech, Geography, Diversity, Forecasts, Liquidity

6.

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 475 (83,257)

Abstract:

Loading...

individual investor portfolio choice, mutual fund families, reputation

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 453 (88,100)
Citation 2

Abstract:

Loading...

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

8.

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 398 (102,373)
Citation 8

Abstract:

Loading...

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

9.

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 375 (109,582)

Abstract:

Loading...

hedge fund, hedge fund governance, directors, reputation

10.
Downloads 338 (123,008)
Citation 14

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 323 (128,375)
Citation 1

Abstract:

Loading...

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 2022
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 15 (751,106)
Citation 10

Abstract:

Loading...

11.

Born to be Bad? Childhood Exposure to Misbehavior and the Culture of Professional Misconduct

Number of pages: 54 Posted: 25 Apr 2019 Last Revised: 20 Oct 2021
Christopher P. Clifford, Jesse A. Ellis and William Christopher Gerken
University of Kentucky, North Carolina State University and University of Kentucky - Finance
Downloads 253 (165,833)
Citation 2

Abstract:

Loading...

Financial misconduct, Financial Advisors, Household Finance, Culture, Diversity

12.

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 247 (169,707)
Citation 7

Abstract:

Loading...

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

13.

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 240 (174,477)
Citation 4

Abstract:

Loading...

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

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 236 (177,355)
Citation 7

Abstract:

Loading...

Blockholder, Liquidity , Corporate Governance, Activism

15.

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 99 (357,473)

Abstract:

Loading...

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

16.

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

Number of pages: 43 Posted: 01 Sep 2021 Last Revised: 07 Sep 2021
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 65 (455,452)

Abstract:

Loading...

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

17.

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

Number of pages: 54 Posted: 01 Feb 2022 Last Revised: 23 May 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 64 (458,954)

Abstract:

Loading...

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

18.

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 52 (505,678)

Abstract:

Loading...

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