College of Law

Publications

Books

• Corporate Dividends and Stock Repurchases (Clark Boardman Callaghan, 1990)

Articles, Essays & Book Reviews

• Eliminating Securities Fraud Class Actions under the Radar, 2009 Colum. Bus. L. Rev. 802 (2009)
• Protecting the Retail Investor in an Age of Financial Uncertainty, 34 U. Dayton L. Rev. ___ (2009)
• Reputational Damages in Securities Litigation, 35 J. Corp. L. 169 (2009)
• The Story of Hewlett-Packard, 77 U. Cin. L. Rev. 383 (2009)
• Are Retail Investors Better Off Today?, 2 Brook. J. Corp. Fin. & Com. L. 303 (2008)
• Introduction: Working Toward Fair Treatment for Retail Investors, 76 U. Cin. L. Rev. 375 (2008)
• Perceptions of Fairness of Securities Arbitration: An Empirical Study (2008) (with Jill I. Gross)
• Should the SEC Be a Collection Agency for Defrauded Investors?, 63 Bus. Law. 317 (2008)
• Stoneridge Investment Partners v. Scientific-Atlanta, Inc.: Reliance on Deceptive Conduct and the Future of Securities Fraud Class Actions, 36 Sec. Reg. L.J. 330 (2008)
• When Perception Changes Reality: An Empirical Study of Investors’ Views of the Fairness of Securities Arbitration, 2008 J. Disp. Resol. 349 (with Jill I. Gross)
• Stoneridge Investment Partners v. Scientific-Atlanta (8th Cir. 2006): What Makes It the Most Important Securities Case in a Decade?, 36 Sec. Reg. L.J. ___ (2007)
• The Explained Award of Damocles: Protection or Peril in Securities Arbitration, 34 Sec. Reg. L.J. 17 (2006) (with Jill Gross)
• Tattlers and Trail Blazers: Attorneys' Liability for Clients' Fraud, 46 Washburn L.J. 91 (2006) (solicited response to article by Marc Steinberg)
• Transforming Rhetoric into Reality: A Federal Remedy for Negligent Brokerage Advice, 8 Transactions: Tenn. J. Bus. L. 101 (2006)
• Brokers and Advisers—What's in a Name?, 11 Fordham J. Corp. & Fin. L. 31 (2005)
• Introduction to Investor Rights Symposium: The Elusive Balance between Investor Protection and Wealth Creation, 26 Pace L. Rev. 27 (2005) (with Jill Gross)
• Do We Expect Too Much from NASD Arbitrators?, Securities Arbitration Commentator (Oct. 2004)
• Is Securities Arbitration Fair to Investors? (Eighth Annual James D. Hopkins Lecture), 25 Pace L. Rev. 1 (2004) (reprinted in The Corporate Practice Commentator)
• Economic Suicide: The Collision of Ethics and Risk in Securities Laws, 64 U. Pitt. L. Rev. 483 (2003) (with Jill Gross) (reprinted in 2004 Securities Law Review)
• Economic Suicide: A Primer for Securities Arbitration Lawyers, 1 Securities Arbitration 2003, 387 (PLI 2003) (with Jill Gross)
• The Irony of Securities Arbitration Today: Why Do Brokerage Firms Need Judicial Protection?, 72 U. Cin. L. Rev. 415 (2003)
• NASD's Proposed Code of Customer Arbitration, 10 PIABA Bar J. 19 (Winter 2003)
• Howsam v. Dean Witter Reynolds, Inc.—Progress toward a Goal of "Fair and Expeditious Resolution" of Disputes, 9 PIABA Bar J. 69 (Winter 2002)
• Law School Clinic Offers Assistance to Small Investors, 9 PIABA Bar J. 39 (Fall 2002)
• Making It Up as They Go Along: The Role of Law in Securities Arbitration, 23 Cardozo L. Rev. 991 (2002) (with Jill Gross)
• Securities Arbitration Is Not Supposed to Be So Complicated: Arbitrability, the Eligibility Rule, and Whose Law Decides, 30 Sec. Reg. L.J. 134 (2002)
• Entering the U.S. Securities Markets: Regulation of Non-U.S. Issuers, Vytautas Magnus U. Law Review (Lithuania) (April 2001)
• Securities Regulation in the Electronic Age: Online Trading, Discount Broker's Responsibilities, and Old Wine in New Bottles, 28 Sec. Reg. L.J. 15 (2000)
• The Strange Case of Fraud on the Market: A Label in Search of a Theory, 52 Albany L. Rev. 923 (1988)
• The Second Circuit's Approach to the "In Connection With" Requirement of Rule 10b-5, 53 Brook. L. Rev. 539 (1987)
• Racketeer Influenced and Corrupt Organizations (RICO)—Securities and Commercial Fraud as Racketeering Crime after Sedima: What is a "Pattern of Racketeering Activity"?, 6 Pace L. Rev. 365 (1986)
• Fraud on the Market: A Criticism of Dispensing with Reliance Requirements in Certain Open Market Transactions, 62 N.C. L. Rev. 435 (1984)