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Bromberg &
Lowenfels
on Securities
Fraud

 Tolins & Lowenfels
  A PROFESSIONAL CORPORATION 
 

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)