James A. Fanto

Publications

• International Compliance Codes: Reflections on Their Significance
  19 BROOK. J. CORP. FIN. & COM. L. (2024) · Brooklyn Journal of Corporate, Financial & Commercial Law · 2024
• Looking Forward: Professor Roberta Karmel’s Prescient Views on the Transformation of Self-Regulatory Organizations and of the Securities Market Structure at the Turn of the Last Century
  16 BROOK. J. CORP. FIN. & COM. L. 123 (2021) · Brooklyn Journal of Corporate, Financial & Commercial Law · 2021
• Symposium Introduction: A Tribute to Roberta Karmel
  16 BROOK. J. CORP. FIN. & COM. L. (2021) · Brooklyn Journal of Corporate, Financial & Commercial Law · 2021
• The Professionalization of Compliance: Its Progress, Impediments, and Outcomes
  35 NOTRE DAME J. L. ETHICS & PUB. POL'Y 183 (2021) · Notre Dame Journal of Law, Ethics & Public Policy · 2021

• Emerging Trends in Corporate Enforcement and Corporate Compliance: Symposium Introduction
  14 BROOK. J. CORP. FIN. & COM. L. (2019) · Brooklyn Journal of Corporate, Financial & Commercial Law · 2019
• Dashboard Compliance: Benefit, Threat, or Both?
  11 BROOK. J. CORP. FIN. & COM. L. (2016) · Brooklyn Journal of Corporate, Financial & Commercial Law · 2016
• Surveillant and Counselor: A Reorientation in Compliance for Broker-Dealers
  2014 BYU L. REV. 1121 (2014) · BYU Law Review · 2014
• Advising Compliance in Financial Firms: A New Mission for the Legal Academy
  8 BROOK. J. CORP. FIN. & COM. L. (2013) · Brooklyn Journal of Corporate, Financial & Commercial Law · 2013
• Justifying Board Diversity
  89 N. C. L. REV. 901 (2011) · North Carolina Law Review · 2011
• “BREAKING UP IS HARD TO DO”: SHOULD FINANCIAL CONGLOMERATES BE DISMANTLED?
  79 U. CIN. L. REV. (2011) · University of Cincinnati Law Review · 2011
• Financial Regulation Reform: Maintaining the Status Quo
  35 BROOK. J. INT'L L. (2010) · Brooklyn Journal of International Law · 2010
• Organizational Liability
  19 J. L. & POL'Y (2010) · Journal of Law and Policy · 2010

• Recognizing the "Bad Barrel" in Public Business Firms: Social and Organizational Factors in Misconduct by Senior Decision-Makers
  57 BUFF. L. REV. 1 (2009) · Buffalo Law Review · 2009
• The Role of Financial Regulation in Private Financial Firms: Risk Management and the Limitations on the Market Model
  3 BROOK. J. CORP. FIN. & COM. L. (2008) · Brooklyn Journal of Corporate, Financial & Commercial Law · 2008
• A Social Defense of Sarbanes-Oxley
  52 N.Y.L. SCH. L. REV. 517 (2007) · NYLS Law Review · 2007
• Paternalistic Regulation of Public Company Management: Lessons from Bank Regulation
  58 FLA. L. REV. 859 (2006) · Florida Law Review · 2006
• Introduction to the Symposium
  70 BROOK. L. REV. (2005) · Brooklyn Law Review · 2005
• Subtle Hazards Revisited: The Corruption of a Financial Holding Company by a Corporate Client's Inner Circle
  70 BROOK. L. REV. (2004) · Brooklyn Law Review · 2004
• Persuasion and Resistance: The Use of Psychology by Anglo-American Corporate Governance Advocates in France
  35 VAND. J. TRANSNAT'L L. 1041 (2002) · Vanderbilt Journal of Transnational Law · 2002
• Braking the Merger Momentum: Reforming Corporate Law Governing Mega-Mergers
  49 BUFF. L. REV. 249 (2001) · Buffalo Law Review · 2001

• The Contribution of the Fund Profile to Investor Education
  1 VILL. L.J. L. & INVESTMENT MGMT. 59 (1999) · Villanova Journal of Law and Investment Management (1999 - 2002) · 1999
• Comparative Investor Education
  64 BROOK. L. REV. 1083 (1998) · Brooklyn Law Review · 1998
• We're All Capitalists Now: The Importance, Nature, Provision and Regulation of Investor Education
  49 CASE W. RES. L. REV. 105 (1998) · Case Western Reserve Law Review · 1998
• The Role of Corporate Law in French Corporate Governance
  31 CORNELL INT'L L.J. 31 (1998) · Cornell International Law Journal · 1998
• Investor Education, Securities Disclosure, and the Creation and Enforcement of Corporate Governance and Firm Norms
  48 CATH. U. L. REV. 15 (1998) · Catholic University Law Review · 1998
• The Absence of Cross-Cultural Communication: SEC Mandatory Disclosure and Foreign Corporate Governance
  17 NW. J. INT'L L. & BUS. 119 (1996) · Northwestern Journal of International Law & Business · 1996
• The Transformation of French Corporate Governance and United States Institutional Investors`
  21 BROOK. J. INT'L L. (1995) · Brooklyn Journal of International Law · 1995
• Justice Blackmun and Securities Arbitration: McMahon Revisited
  71 N. D. L. REV. 145 (1995) · North Dakota Law Review · 1995