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A Multiple Case Study Exploration of How the Leadership Style and Integrity of Senior Leaders Impact the Ethical Behavior of Subordinate Investment Advisers.

Record Type:	Language materials, manuscript : Monograph/item
Title/Author:	A Multiple Case Study Exploration of How the Leadership Style and Integrity of Senior Leaders Impact the Ethical Behavior of Subordinate Investment Advisers./
Author:	LeRoy, Lee.
Description:	1 online resource (234 pages)
Notes:	Source: Dissertation Abstracts International, Volume: 79-05(E), Section: A.
Contained By:	Dissertation Abstracts International79-05A(E).
Subject:	Finance. -
Online resource:	click for full text (PQDT)
ISBN:	9780355574241

A Multiple Case Study Exploration of How the Leadership Style and Integrity of Senior Leaders Impact the Ethical Behavior of Subordinate Investment Advisers.
LeRoy, Lee.

A Multiple Case Study Exploration of How the Leadership Style and Integrity of Senior Leaders Impact the Ethical Behavior of Subordinate Investment Advisers. - 1 online resource (234 pages)

Source: Dissertation Abstracts International, Volume: 79-05(E), Section: A.

Thesis (D.B.A.)--Lawrence Technological University, 2017.

Includes bibliographical references

The financial services industry (FSI) is fundamental to U.S. economic growth and development, representing $1.223 trillion (or 7%) of U.S. gross domestic product and employing approximately 6 million people. Despite the positive impact that the FSI has on expanding economic opportunity for individuals and businesses, the Enron scandal of 2001, the WorldCom scandal of 2002, the Wall Street financial crisis of 2008, unethical trading practices by JP Morgan in 2012, misappropriated funds by financial investment advisers, and other examples of unethical behavior in the FSI have created customer distrust and apathy. Researchers and practitioners have taken a keen interest in understanding factors that promote ethical behavior in the FSI, and research suggests the leader's leadership style and integrity has a positive impact on promoting ethical behavior in the workplace. This study explored how the leadership style and integrity of senior leaders impact subordinate ethical behavior in five financial investment firms in Michigan via an exploratory multiple-case study research design. A purposeful sample of N = 10 subordinate investment advisers provided interview data to understand the leadership style and integrity of their senior leaders and their own ethical behavior. Qualitative interview data were analyzed using deductive thematic analysis.

Electronic reproduction.
Ann Arbor, Mich. :
ProQuest,
2018

Mode of access: World Wide Web

ISBN: 9780355574241Subjects--Topical Terms:

559073
Finance.
Index Terms--Genre/Form:

554714
Electronic books.

A Multiple Case Study Exploration of How the Leadership Style and Integrity of Senior Leaders Impact the Ethical Behavior of Subordinate Investment Advisers.
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500 $a Source: Dissertation Abstracts International, Volume: 79-05(E), Section: A.
500 $a Adviser: Matthew L. Cole.
502 $a Thesis (D.B.A.)--Lawrence Technological University, 2017.
504 $a Includes bibliographical references
520 $a The financial services industry (FSI) is fundamental to U.S. economic growth and development, representing $1.223 trillion (or 7%) of U.S. gross domestic product and employing approximately 6 million people. Despite the positive impact that the FSI has on expanding economic opportunity for individuals and businesses, the Enron scandal of 2001, the WorldCom scandal of 2002, the Wall Street financial crisis of 2008, unethical trading practices by JP Morgan in 2012, misappropriated funds by financial investment advisers, and other examples of unethical behavior in the FSI have created customer distrust and apathy. Researchers and practitioners have taken a keen interest in understanding factors that promote ethical behavior in the FSI, and research suggests the leader's leadership style and integrity has a positive impact on promoting ethical behavior in the workplace. This study explored how the leadership style and integrity of senior leaders impact subordinate ethical behavior in five financial investment firms in Michigan via an exploratory multiple-case study research design. A purposeful sample of N = 10 subordinate investment advisers provided interview data to understand the leadership style and integrity of their senior leaders and their own ethical behavior. Qualitative interview data were analyzed using deductive thematic analysis.
520 $a Results from this study provide five key contributions regarding how the leadership style and integrity of senior leaders impact the ethical behavior of subordinate investment advisers. First, the study research suggests leaders with transformational, authentic and servant leadership styles have a positive impact on the ethical behavior of a subordinate. Second, the study research suggests leaders with integrity (i.e., high morals, ethical, client interest, consistency of words and action, honesty) have a positive impact on the ethical behavior of a subordinate. Third, study participants with <10 years of experience in the FSI perceived their leaders as transformational, authentic and servant leaders with integrity, whereas study participants with >10 years of experience in the FSI perceived their leaders as laissez-faire and transactional leaders with a lack of integrity. Fourth, study participants from the smallest and largest firms in the study perceived their leaders as transformational, authentic, and servant leaders with integrity, whereas study participants from the mid-sized firms perceived their leaders as laissez-faire and transactional leaders with a lack of integrity. The fifth contribution concerns a set of six recommendations for promoting subordinate ethical behavior in the FSI: (1) Develop a management training program that focuses on transformational leadership and leader integrity, (2) Avoid productivity as the sole measure of adviser performance, (3) Eliminate client segmentation practices based on client size, (4) Limit external forces to influence financial adviser behavior, (5) Encourage more use of separately managed accounts, and (6) Use a values-based approach to ethics that requires senior leaders to clearly understand the culture and details of ethical business practices.
533 $a Electronic reproduction. $b Ann Arbor, Mich. : $c ProQuest, $d 2018
538 $a Mode of access: World Wide Web
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650 4 $a Ethics. $3 555769
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773 0 $t Dissertation Abstracts International $g 79-05A(E).
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