Lewis D.
Lowenfels, Esq.
| Treatise |
Bromberg & Lowenfels, Securities Fraud & Commodities
Fraud.
Seven-volume treatise published by West Group
(updated semi-annually)
| Published
Articles |
(1) Rule 10b-5 and the Stockholder's Derivative Action. 18
Vanderbilt Law Review 893-910 (1965)
(2) Implied Liabilities Based upon Stock Exchange Rules. 66
Columbia Law Review 12-30 (1966)
(3) Private Enforcement in the Over-the-Counter Securities
Markets: Implied Liabilities Based on NASD Rules. 51 Cornell Law
Quarterly 633-655 (1966)
(4) Pendent Jurisdiction and the Federal Securities Acts. 67
Columbia Law Review 474-493 (1967)
(5) The Demise of the Birnbaum Doctrine: A New Era for Rule
10b-5. 54 Virginia Law Review 268-277 (1968)
(6) Section 16(b): A New Trend in Regulating Insider Trading. 54
Cornell Law Review 45-64 (1968)
(7) Rule 10b-13, Rule 10b-6 and Purchases of Target Company
Securities During an Exchange Offer. 69 Columbia Law Review
1392-1410 (1969)
(8) Codification and Rule 10b-5. 23 Vanderbilt Law Review
591-598 (1970)
(9) Securities and Exchange Commission Investigations: The Need
for Reform. 45 St. John's Law Review 575-582 (1971)
(10) SEC "No-Action" Letters: Some Problems and Suggested
Approaches. 71 Columbia Law Review 1256-1279 (1971)
(11) SEC "No-Action" Letters: Conflicts with Existing Statutes,
Cases and Commission Releases. 59 Virginia Law Review 303-322
(1973)
(12) Expanding Public Responsibilities of Securities Lawyers: An
Analysis of the New Trend in Standard of Care and Priorities of
Duties. 74 Columbia Law Review 412-438 (1974)
(13) Blue Chip Stamps. 8 The Review of Securities Regulations
849-853 (1975)
(14) Questionable Corporate Payments and The Federal Securities
Laws. 51 New York University Law Review 1-32 (1976)
(15) Recent Supreme Court Decisions under The Federal Securities
Laws: The Pendulum Swings. 65 Georgetown Law Journal 891-923
(1977)
(16) Scienter or Negligence Required for SEC Injunctions under
Section 10(b) and Rule 10b-5: A Fascinating Paradox. 33 The Business
Lawyer 789-809 (1978)
(17) A Lack of Fair Procedures in the Administrative Process:
Disciplinary Proceedings at the Stock Exchanges and the NASD. 64
Cornell Law Review 375-401 (1979)
(18) The Case Against the Proposed Federal Securities Code. 65
Virginia Law Review 615-661 (1979)
(19) Wells Submissions in SEC Investigations. New York Law
Journal (March, 1983)
(20) Attorney's Role in Preparing Witness in SEC Probe. New York
Law Journal (February, 1984)
(21) Investigations by Self-Regulatory Organizations. New York
Law Journal (June, 1984)
(22) Broker-Dealer's Responsibilities in Non-Registered
Transactions. New York Law Journal (September, 1984)
(23) Broker-Dealers as Plaintiffs under the Federal Securities
Laws. New York Law Journal (November, 1984)
(24) Underwriter's Due Diligence under 1933 Securities Act. New
York Law Journal (September, 1985)
(25) A Report on Churning Actions under Federal Securities Laws.
New York Law Journal (March, 1986)
(26) Statutes of Limitations under Federal Securities Law. New
York Law Journal (October, 1986)
(27) Insider Trading - Arguments in Favor of It and Against. New
York Law Journal (March, 1987)
(28) Liabilities of Secondary Parties under Federal Securities
Law. Series of three articles in New York Law Journal (March,
1988)
(29) The Knowledge Requirement in Aider and Abettor Collateral
Liability. 21 The Review of Securities & Commodities
Regulation 191-195 (1988)
(30) Aiding and Abetting Securities Fraud: A Critical
Examination. 52 Albany Law Review 637-773 (1988) (Co-authored
with Professor Alan R. Bromberg)
(31) Recent SEC and Self-Regulatory Enforcement Initiatives in
Regard to Supervision and Compliance. Prentice Hall Law &
Business Supervisory and Compliance Workshop (1989)
(32) Securities Industry Arbitrations: An Examination and
Analysis. 53 Albany Law Review 755-869 (1989) (Co-authored
with Professor Alan R. Bromberg)
(33) Challenging Securities Industry Arbitration Awards. New
York Law Journal (February, 1990) (Co-authored with Professor
Alan R. Bromberg)
(34) Securities Market Manipulations: An Examination and
Analysis of Domination and Control, Frontrunning, and Parking. 55
Albany Law Review 293-365 (1991) (Co-authored with Professor
Alan R. Bromberg)
(35) What Is a Security Under the Federal Securities Laws? 56
Albany Law Review 473-560 (1993) (Co-authored with Professor
Alan R. Bromberg)
(36) NASD Disciplinary Actions Lack Fairness. New York Law
Journal (October, 1993)
(37) Broker-Dealer Supervision: A Troublesome Area. 25 Seton
Hall Law Review 527-557 (1994) (Co-authored with Professor
Alan R. Bromberg)
(38) Securities Disclosure: Disclosure of Government
Investigations. 8 Insights 17-22 (1994) (Co-authored with
Professor Alan R. Bromberg)
(39) SEC Rule 10b-5 and Its New Statute of Limitations: The
Circuits Defy the Supreme Court. 51 The Business Lawyer 309-334
(1996) (Co-authored with Professor Alan R. Bromberg)
(40) A New Standard for Aiders and Abettors Under the Private
Securities Litigation Reform Act of 1995. 52 The Business Lawyer
1-12 (1996) (Co-authored with Professor Alan R. Bromberg)
(41) Controlling Person Liability Under Section 20(a) of the
Securities Exchange Act and Section 15 of the Securities Act. 53 The
Business Lawyer 1-33 (1997) (Co-authored with Professor Alan R.
Bromberg)
(42) Liabilities of Lawyers and Accountants Under Rule 10b-5. 53
The Business Lawyer 1157-80 (1998) (Co-authored with Professor
Alan R. Bromberg)
(43) Suitability in Securities Transactions. 54 The Business
Lawyer 1557-97 (1999) (Co-authored with Professor Alan R.
Bromberg)
(44) Compensatory Damages in Rule 10b-5 Actions: Pragmatic
Justice or Chaos? 30-4 Seton Hall Law Review 1083-1113 (2000)
(Co-authored with Professor Alan R. Bromberg)
(45) U.S. Securities Fraud Across the Border: Unpredictable
Jurisdiction. 55 The Business Lawyer 975-1021 (2000) (Co-authored
with Professor Alan R. Bromberg)
(46) Rule 10b-5's "In Connection With"; A Nexus for Securities
Fraud. 57 The Business Lawyer 1-24 (2001) (Co-authoried with
Professor Alan R. Bromberg)
(47) Beyond Precedent: Arbitral Extensions of Securities Law. 57
The Business Lawyer 999-1023 (2002) (Co-authored with Professor Alan
R. Bromberg)
(48) Implied Private Actions Under Sarbanes-Oxley. 34-3 Seton Hall Law Review
775-806 (2004) (Co-authored with Professor Alan R. Bromberg)
(49) Attorneys as Gatekeepers: SEC Actions Against Lawyers in the Age of Sarbanes-Oxley.
37 University of Toledo Law Review 877-930 (2006)(Co-authored with Professor Alan R. Bromberg
and Michael J. Sullivan, Esq.)
(50) Backdating Stock Options – Effects upon In-House Corporate Counsel. 39 BNA Securities
Regulation & Law Report 436-438 (2007) (Co-authored with Professor Alan R. Bromberg)
(51) The End of Backdating Stock Options: The Crescendo Has Passed! 39 BNA Securities
Regulation & Law Report 1511-1514 (2007) (Co-authored with Professor Alan R. Bromberg)
(52) Suitability Actions in Securities Arbitrations Often Overlook State Law as Possible Basis. 40 BNA
Securities Regulation & Law Report 493-495 (2008) (Co-authored with Professor Alan R. Bromberg)
(53) Recent Trends and Developments under the Foreign Corrupt Practices Act.
41 BNA Securities Regulation & Law Report 466-468 (2009)
(Co-authored with Professor Alan R. Bromberg)
(54) SEC Actions Against Lawyers Post Sarbanes-Oxley;
A Reasoned Approach or an Assault Upon the Practicing Securities Bar?
41 BNA Securities Regulation & Law Report 1739-1744 (2009)
(Co-authored with Alan R. Bromberg, Esq., Michael J. Sullivan, Esq. and David Alberts)
(55) How Did Madoff “Pull It Off?” 43 BNA Securities Regulation & Law Report 550-552 (2011)
(Co-authored with Professor Alan R. Bromberg)
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