Richard J. Rogalski

George J. Records Professor of Investments

E-Mail: richard.j.rogalski@tuck.dartmouth.edu Phone: 603-646-2512

BS, University of Detroit, 1969; MS, Case Institute of Technology, 1970; PhD, University of Michigan, 1974

Areas of expertise

Finance, investments

Current research topics

Hedge funds, mutual funds, IPOs

Selected Publications

"New Findings Regarding Day of Week Returns over Trading and Non-Trading Periods," Journal of Finance, December 1984; "Agency Problems, Information Asymmetries, and Convertible Debt Security Design," Journal of Financial Intermediation, January 1998; "Understanding the Design of Convertible Debt," Journal of Applied Corporate Finance, Spring 1998; "Is Convertible Debt a Substitute for Straight Debt or for Common Equity?" Financial Management, Autumn 1999; "The Long-Run Performance of Firms That Issue Convertible Debt: An Empirical Analysis of Operating Characteristics and Analysts’ Forecasts," Journal of Corporate Finance, December 2001; "What’s Special About the Role of Underwriter Reputation and Market Activities in IPOs?" Journal of Business, April 2002; "Industry Conditions, Growth Opportunities, and Market Reactions to Convertible Debt Financing Decisions," Journal of Banking and Finance, January 2003

Awards

Best Dissertation Award, American Institute of Decision Science Thesis Competition, 1995; Outstanding Faculty, BusinessWeek Guide to the Best Business Schools, 1997; runner-up, Most Significant Paper, Journal of Financial Intermediation, 1998

Professional Activities

Academic positions: Assistant Professor, Columbia University, 1974–75; Visiting Assistant Professor, University of Michigan, 1975–76; Tuck School of Business, 1976–present; Visiting Associate Professor, Graduate School of Management, University of California, Los Angeles, 1982

Nonacademic positions: Vice President, Head of New Products Group, Morgan Stanley & Co., Inc., 1985–87; Director, Head of Financial Strategies Group, Merrill Lynch Capital Markets, 1990–91; Chief Investment Officer, Kidder Peabody Asset Management, 1993–94

Board memberships: Boards of directors: MidFirst Bank, 1992–present; Kidder Peabody Asset Management, 1993–95; Dillon Read Capital Management, 2006– present

Editorial positions: Associate Editor, Financial Management, 1979–81, Journal of Corporate Finance, 1987–89, International Journal of Finance Education; Editorial Advisory Board, Journal of Investing, 1987–93