James A. Fanto

B.A.; M.A.; Ph. D.; J.D.

James A. Fanto is the Gerald Baylin Professor of Law at Brooklyn Law School and Co-Director of the school’s Center for the Study of Business Law & Regulation. He teaches courses primarily on banking, compliance, corporate and securities law, and corporate finance and governance. He now writes, speaks and consults on the law relating to corporate boards, broker-dealer law and compliance. He is the author of numerous articles and the following books: Directors’ and Officers’ Liability (2005) and Corporate Governance in French and American Law (1997), and is the co-author (with Norman Poser and Jill Gross) of Broker-Dealer Law and Regulation (4th ed. 2007, annually updated). He is an editor of an electronic journal in the Social Science Research Network, Corporate and Financial Law: Interdisciplinary Approaches and a co-editor in chief of Practical Compliance & Risk Management for the Securities Industry. He is also an Associate Reporter for the American Law Institute’s project on Principles of the Law, Compliance, Enforcement, and Risk Management for Corporations, Nonprofits, and Other Organizations. Since 2011, he has taught in FINRA’s Certified Regulatory and Compliance Professional Program. Before becoming a law professor, he practiced banking, corporate, and securities law with the firm of Davis Polk in Washington, Paris and New York. 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 both Judge Louis H. Pollak of the United States District Court for the Eastern District of Pennsylvania and Justice Harry A. Blackmun of the United States Supreme Court.