James A. Fanto is a professor at Brooklyn Law School. He teaches courses on banking, corporate, and securities law, corporate finance, and comparative and international corporate law and governance. His extensive writings and lectures both in the United States and abroad focus on, among other topics, the law relating to corporate boards, comparative corporate governance, cross-cultural securities disclosure, investor education, merger decision making and differences in business law and enterprises between the United States and France. He is the author of several books, Broker-Dealer Law and Regulation (4th ed. 2007, with Norman Poser), Directors’ and Officers’ Liability (2005) and Corporate Governance in French and American Law (1997), and recent articles of his appeared in the Columbia Business Law Review, the Ohio State Law Journal and the Florida Law Review. He is an editor of an electronic journal in the Social Science Research Network, Corporate and Financial Law: Interdisciplinary Approaches. Professor Fanto is an Associate Director of Brooklyn Law School's Center for the Study of International Business Law, directs the Center's International Economic Law Forums and has taught in the School’s summer programs in Beijing and Bologna. Before becoming a law professor, he practiced banking, corporate, and securities law with the firm of Davis Polk & Wardwell in Washington, Paris and New York, and he is an independent consultant on corporate and securities law matters. Professor Fanto received his B.A. from the University of Notre Dame, his M.A. and Ph.D. from the University of Michigan and J.D. from the University of Pennsylvania. He was a law clerk to Judge Louis H. Pollak of the United States District Court for the Eastern District of Pennsylvania and to Justice Harry A. Blackmun of the United States Supreme Court.
Articles
The SEC's 2008 Agenda for Broker-Dealer and Investment Advisers, 1 Practical Compliance & Risk Management for the Security Industry 43 (2008)
The Continuing Need for Broker-Dealer Professinalism in IPOs, Ohio State Sec. L. J. (2007)
Paternalistic Regulation of Public Company Management: Lessons from Bank Management, 58 Fla. L. Rev. 859 (2006)
Subtle Hazards Revisited: The Corruption of a Financial Holding Company by a Corporate Client’s Inner Circle [Tenth Abraham L. Pomerantz Program: Wall Street in Turmoil: Who is Protecting the Investor?], 70 Brook. L. Rev. 7 (2004)
Books
Broker-Dealer Law and Regulation (with Norman Poser, 4th ed. 2007) (with annual supplement, 2008) (2007)
Corporate Governance in American and French Law (with A. Pezard) (1997)
Co-authored Articles
A Report on the Attitudes of Foreign Companies Regarding a U.S. Listing (also appeared as NYSE Working Paper 97-01) (with Roberta S. Karmel), 3 Stan. J.L. Bus. & Fin. 51 (1997)
Shorter Articles
Introduction [Symposium: Corporate Misbehavior by Elite Decision-Makers: Perspectives From Law and Social Psychology], 70 Brook. L. Rev. 1165 (2005)
Book Review (reviewing D.M. Abdelhamid, International Regulatory Rivalry in Open Economies: The Impact of Deregulation on the US and UK Financial Markets (2003)), 27 World Competition 162 (2004)
Opinion d’Outre Atlantique sur l’Affaire Morgan Stanley/LVMH, 5 Revue de Droit Bancaire et Financier 226 (2004)
Columnist (U.S. securities & corporate law) (2003- ), Int’l Com. & Corp. L. Rev. (2003)
The Necessity of (and the Threat Posed by) Consumer Financial Education for the New Financial Conglomerates, 26 J. Int'l Banking Reg. 39 (2000)
Works in Progress
Recognizing the “Bad Barrel” in Public Business Firms: Social and Organizational Factors in Misconduct by Senior Decision-Makers, ExpressO (2008)
The Article argues that laws dealing with business associations do not adequately address the group...