Case | HBS Case Collection | February 2006 (Revised August 2006)

Investment Banking at Thomas Weisel Partners

by Malcolm P. Baker and Lauren Barley


Thomas Weisel Partners (TWP), a San Francisco-based bank focusing on emerging growth companies, is considering its strategy in the context of regulatory, competitive, and legal changes. Blake Jorgensen, the chief operating officer and co-director of investment banking, must decide how best to serve TWP's clients given the Global Research Analyst Settlement, Regulation Fair Disclosure, changes in "soft dollar" commissions, decimalization, and Sarbanes-Oxley.

Keywords: Strategy; Business or Company Management; Conflict of Interests; Change Management; Investment Banking; Financing and Loans; Laws and Statutes; Financial Strategy; Corporate Finance; Banking Industry; San Francisco;


Baker, Malcolm P., and Lauren Barley. "Investment Banking at Thomas Weisel Partners." Harvard Business School Case 206-091, February 2006. (Revised August 2006.)