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Behavioral Economics and Investor Protection: Reasonable Investors, Efficient Markets

accepted for inclusion in Loyola University Chicago Law Journal by an authorized administrator of LAW eCommons. For more information , please contact 1 Barbara Black, Behavioral Economics and Investor

Punishing Bad Brokers: Self-Regulation and FINRA Sanctions

-Regulation and FINRA Sa nctions , 8 Brook. J. Corp. Fin. & Com. L. (2013). Available at: Follow this and additional works at; http; //brooklynworks; brooklaw; edu/bjcfcl - Barbara Black* INTRODUCTION ... retail investor confidence. See Barbara Black, Is Securities Arbitration Fair to Investors?, 25 PACE L. REV. 1 (2004). ordered restitution of $34 million to injured investors.6 It expelled thirty firms

Arbitration Of Investors’ Claims Against Issuers: An Idea Whose Time Has Come?

Barbara Black. lcp. * Charles Hartsock Professor of Law and Director, Corporate Law Center, University of Cincinnati College of Law. This paper was presented at the April ARBITRATION OF INVESTORS ... ' CLAIMS AGAINST ISSUERS: AN IDEA WHOSE TIME HAS COME? BARBARA BLACK 0 0 4. See , e.g., COMM. ON CAPITAL MKTS. REGULATION, INTERIM REPORT OF THE COMMITTEE ON CAPITAL MARKETS REGULATION 109-12 (2006

Can Behavioral Economics Inform Our Understanding of Securities Arbitration?

TRANSACTIONS: THE TENNESSEE JOURNAL OF BUSINESS LAW CAN BEHAVIORAL ECONOMICS INFORM OUR UNDERSTANDING OF SECURITIES ARBITRATION? BARBARA BLACK Since Shearson/American Express, Inc. v. McMahon,1 ... ; another 208 (7.3%) survey participants answered that the customer agreement did not contain a PDAA; 13.4% (381) of survey participants did not know or could not recall. Jill I. Gross & Barbara Black, When

How to Improve Retail Investor Protection After the Dodd-Frank Wall Street Reform and Consumer Protection Act

substantially reduced. 11. See my earlier work, Barbara Black, Transforming Rhetoric into Reality: A Federal Remedy for Negligent Brokerage Advice, 8 TRANSACTIONS: TENN. J. BUS. L. 101 (2006), for a discussion ... -2(a)(11)(C) (2006); see also Barbara Black, Brokers and Advisers – What’s in a Name?, 11 FORDHAM J. CORP. & FIN. L. 31, 33 (2005) (outlining the different legal obligations that brokers and investment

Are Retail Investors Better off Today?

Brooklyn Journal of Corporate Are Retail Investors Better of T oday? Barbara Black Are Retail Investors Better of T oday? Brook. J. Corp. Fin. Com. L. ( Recommended Citation Follow this and ... additional works at; http; //brooklynworks; brooklaw; edu/bjcfcl - Barbara Black* In recent years retail investors—individual investors who, compared to institutional investors or wealthy individual

Transforming Rhetoric Into Reality: A Federal Remedy for Negligent Brokerage Advice

Professional Responsibilities of Broker-Dealers: The Suitability Doctrine TRANSFORMING RHETORIC INTO REALITY: A FEDERAL REMEDY FOR NEGLIGENT BROKERAGE ADVICE BARBARA BLACK - 2 As expressed by a ... misrepresentations unless the court believes that the defendant owed a special responsibility to the 58 See Barbara Black & Jill I. Gross, Economic Suicide: The Collision of Ethics and Risk in Securities Law, 64 U

Brokers and Advisers – What’s in a Name?

, supranote 2, at 20, 426 . 81. Excessive trading in an account by the broker to generate commission income . See Barbara Black & Jill I. Gross , Making It UpAs They Go Along: The Role of Law in Securities

When Perception Changes Reality: An Empirical Study of Investors

by customers against their brokers, see Barbara Black & Jill I. Gross, Making It Up As They Go Along: The Role of Law in SecuritiesArbitration, 23 CARDOZO L. REv. 991, 1008-1012 (2002). 5. A Review of ... , 2008)). For a more detailed analysis of the benefits and drawbacks of this rule proposal, see Barbara Black & Jill I. Gross, The Explained Award of Damocles: Protectionor Perilin Securities Arbitration

The Elusive Balance between Investor Protection and Wealth Creation

: http://digitalcommons.pace.edu/plr Investor Rights Symposium Introduction The Elusive Balance Between Investor Protection and Wealth Creation Barbara Black* and Jill Gross** The enactment of ... history and early years of Pace's clinic, see Barbara Black, Establishing a Securities Arbitration Clinic: The Experience at Pace, 50 J. LEGAL EDUC. 35 (2000). 5. William W. Gurley Memorial Professor of

Barbara Salken: A Remembrance

and friends. -Professor Barbara Black

Racketeer Influenced and Corrupt Organizations (RICO) - Securities and Commercial Fraud as Racketeering Crime after Sedima: What Is a Pattern of Racketeering Activity?

School of Law. c Copyright 1986 , Barbara Black, all rights reserved . 1. 18 U.S.C. §§ 1961 - 1968 ( 1982 & Supp . III 1985 ). 2. The statement of findings and purpose of the act recites that "[ilt is the