Works in Progress
From Self-Regulation to Private Regulation:
Arbitrations Involving Members of the New York Stock Exchange from
1820 – 1941.
The Future of Investment Adviser Regulation:
Australia, the United Kingdom and the United
Law Review Articles
Unauthorized Payment Transactions and Who Should Bear the Losses,
53 Chicago-Kent Law Review 605 (2008).
A Broker’s Duty of Best Execution in the Nineteenth and Early
Twentieth Centuries,26 Pace Law Review 155 (2005).
When Deference Becomes Abdication: Immunizing Widespread
Broker-Dealer Practices from Judicial Review through the
Possibility of SEC Oversight , 73 Mississippi Law Journal 1
Father Knows Best: Revised Article 8 and the Individual Investor,
27 Florida State University Law Review 615 (2000).
Co-author of Avoiding the Inevitable: The Continuing
Viability of StateLaw Claims in the Face of Primary Jurisdiction
and Preemption Challenges under the Securities Exchange Act of
1934, 1995 Columbia Business Law Review 525. Cited in "Worth
Reading" column of The National Law Journal.
Illegal Lofts in New York City: Have the Equities Been Balanced?,
14 Fordham Urban Law Journal 559 (1986).
Legal Periodical Articles
New Wave of Cases Involving Investment Adviser Fees,
New York Law Journal, October 10, 2013.
The Revolution in Investment Adviser Regulation, The
Investment Lawyer, October 2011.
When Should a Broker-Dealer Be Treated as an Investment
Adviser, New York Law Journal, August 1, 2011.
Reviewing Article 8’s Revised Collusion Standard, New
York Law Journal, March 27, 2001, page 1.
Legislature Mulls Change of Article 8, New York Law
Journal, October 17, 1996, page 7; reprinted in UCC Bulletin (April
Co-author of Order Flow Cases: Jurisdiction,
Preemption and Securities Laws, New York Law Journal, May 9,
1995, page 1.
Co-author of Double Jeopardy Issues in the Financial
Sector, New York Law Journal, August 3, 1994, page 1;
reprinted in 20 RICO Law Reporter 1139 (1994).
Book Essays and Reviews
Review essay of Project Finance, 11 Boston University
International Law Journal 165 (1993).
Book review of Legal Realism at Yale, 1927-1960, 34 The
American Journal of Jurisprudence 252 (1989).
Book review of Lawyers in Business and the Law
Business, 21 Law and Policy in International Business 309
Continuing Legal Education Publications
Case Study: Paper Deinking Mills, a paper presented at
a seminar on Project Finance Opportunities in Recent Environmental
Co-author of Negotiating Debt and Equity Documents for
Construction and Operation (and a related case study) in
Course Handbook for Project Finance: A Tutorial (Infocast ed.,
Chicago, 1991 & 1992).
Bar Association Reports
Uniform State Laws Committee, Association of the Bar of the City of
New York, Revised Article 1 of the Uniform Commercial
Code, 59 The Record 176 (2004) (abbreviated version); http://www.abcny.org/pdf/report/LEGALDOCS-1.pdf
(full version). I was the chair of the subcommittee
that drafted the report and had primary drafting responsibility for
the section on revised section 1-301, the new choice of law
Commerical Law and Uniform State Laws Committee, New York City
Bar, Second Report on Revised Article 1 of the Uniform
I was the chair of the subcommittee that revised the original