Real Estate Shocks and Financial Advisor Misconduct

A-Tier
Journal: Journal of Finance
Year: 2021
Volume: 76
Issue: 6
Pages: 3309-3346

Authors (3)

STEPHEN G. DIMMOCK (not in RePEc) WILLIAM C. GERKEN (University of Kentucky) TYSON VAN ALFEN (not in RePEc)

Score contribution per author:

1.341 = (α=2.01 / 3 authors) × 2.0x A-tier

α: calibrated so average coauthorship-adjusted count equals average raw count

Abstract

We test whether personal real estate shocks affect professional misconduct by financial advisors. We use a panel of advisors' home addresses and examine within‐advisor variation relative to other advisors who work at the same firm and live in the same ZIP code. We find a negative relation between housing returns and misconduct. We show that advisors' housing returns explain misconduct against out‐of‐state customers, breaking the link between customer and advisor housing shocks. Furthermore, the results are stronger for advisors with lower career risk from committing misconduct, and for advisors with greater borrowing constraints.

Technical Details

RePEc Handle
repec:bla:jfinan:v:76:y:2021:i:6:p:3309-3346
Journal Field
Finance
Author Count
3
Added to Database
2026-01-25