Teaching and Research Interests:
- Current research involves a study of estate planning strategies and tax-deferred investing strategies.
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Published Papers:
- Taxes and Investment Choice
Annual Review of Financial Economics 4, 2012; 411-429.
(with: Chester Spatt)
- Maximizing Long-Term Wealth Accumulation: It's Not Just about "What" Investments to Make, but also "Where" to Make Them
Research Dialogue of TIAA-CREF Institute, September 2005; 1-12.
(with: Chester Spatt, James Poterba, Harold Zhang)
- Optimal Asset Location and Allocation with Taxable and Tax-Deferred Investing
Journal of Finance 59, 2004; 999-1037.
(with: Chester Spatt, Harold Zhang)
- Capital Gains Taxes and Portfolio Rebalancing
Research Dialogue of TIAA-CREF Institute, March 2003; 1-14.
(with: Chester Spatt, Harold Zhang)
- Optimal Consumption and Investment with Capital Gains Taxes
Review of Financial Studies 14, 2001; 583-616.
(with: Chester Spatt, Harold Zhang)
- The Optimal Trading and Pricing of Securities with Asymmetric Capital Gains Taxes and Transaction Costs
Review of Financial Studies 9(3), 1996; 921-952.
(with: Chester Spatt)
- Tax-Induced Intertemporal Restrictions on Security Returns
Journal of Finance 49, 1994.
- The Relative Pricing of High-Yield Debt: The Case of RJR Nabisco Holdings Capital Corporation
American Economic Review 83(5), 1993; 1090-1111.
(with: Chester Spatt, Kenneth Dunn)
- An Option-Theoretic Approach to the Valuation of Dividend Reinvestment and Voluntary Purchase Plans
Journal of Finance 47(1), 1992; 331-347.
(with: Chester Spatt)
- A Reexamination of the Value of Tax Options
The Review of Financial Studies 2(3), 1989; 341-372.
(with: Kenneth Dunn, Chester Spatt)
- Tax Arbitrage and the Existence of Equilibrium Prices for Financial Assets
Journal of Finance 42(5), 1987; 1143-1166.
(with: Richard Green)
Working Papers:
- Retirement Investing: Analyzing the 'Roth' Conversion and Re-characterization Options at Q-Group
March, 2010.
(with: Chester Spatt, Harold Zhang)
- Capital Gains Taxes, Restricted Stock Ownership and Diversification
February, 2010.
(with: Chester Spatt, Harold Zhang)
- Retirement Investing: Analyzing the Roth Conversion Option
December, 2009.
- Taxes, Estate Planning and Financial Theory: New Insights and Perspectives
April, 2007.
(with: Chester Spatt, Harold Zhang)
- Diversification and Capital Gains Taxes with Multiple Risky Assets
August, 2001.
(with: Chester Spatt, Harold Zhang)
- Do Heterogeneous Basis Values Affect Equilibrium Asset Prices?
March, 1995.
(with: Chester Spatt)
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Awards:
- 9th Annual TIAA-CREF Paul A. Samuelson Award for Outstanding Scholarly Writing on Lifelong Financial Security: "Optimal Asset Location and Allocation with Taxable and Tax-Deferred Investing" - 2005
- Four-star teacher rating from Business Week
- Runner-up for the Barclays Global Investors/Michael Brennan Prize for Best Paper published in the Review of Financial Studies - 2001
- Outstanding Teacher of the Year Award, Duke University - 1996
- Best Paper, American Association of Individual Investor's Award - 1990
- George Leland Bach Award for Excellence in the Classroom, MBA Program - 1989, 1997, 2007
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Courses Taught:
- Studies in Corporate Finance (45812)
(Masters Program)
- Corporate Restructuring (45901)
(Masters Program)- 2012, Mini 3 (Section: A)
- 2011, Mini 3 (Section: A)
- 2011, Mini 3 (Section: B)
- 2011, Mini 3 (Section: E)
- 2010, Mini 3 (Section: A)
- 2010, Mini 3 (Section: B)
- 2009, Mini 3 (Section: A)
- 2009, Mini 3 (Section: B)
- 2008, Mini 3 (Section: A)
- 2008, Mini 3 (Section: B)
- 2007, Mini 3 (Section: A)
- 2007, Mini 3 (Section: B)
- 2007, Mini 3 (Section: E)
- 2006, Mini 3 (Section: A)
- 2006, Mini 3 (Section: B)
- 2006, Mini 3 (Section: E)
- Corporate Restructuring (45921)
(Masters Program)
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