Professor Seth E. Lipner

EMAIL: ProfLipner@aol.com

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Education

  • LL.M.. 1981, New York University School of Law, Trade Regulation

  • J.D., 1980, Albany Law School of Union University

  • B.S., 1978, Rensselaer Polytechnic Institute (with Honors), Business Management

 

Employment History

  • Professor, Zicklin School Of Business, Baruch College, CUNY, 1982 - Present (Asst. Prof. 1982 - 85; Assoc. Prof. 1985 - 1991)

  • Adjunct Professor, Adelphi University School of Management, 1981 - 82

  • Attorney, Deutsch & Lipner, 1985 - Present

 

Areas of Expertise

  • State and Federal Securities Law

  • Arbitration Law

 

Scholarship

  • Lipner, S. The Reliability Requirement for Expert Testimony Applied to Securities Arbitration. 21 PIABA Bar Journal --- (2014)

  • Lipner, S. Vacatur Petitions and the Waiver Doctrine. 21 PIABA Bar Journal 1-11 (2014)

  • Lipner, S. The Expungement of Customer Complaint CRD Information Following The Settlement of a FINRA Arbitration. Fordham Journal of Securities and Financial Law, XIX, 54-108 (2014)

  • Lipner & Catalano, The Tort of Negligent Misrepresentation, 39 Memphis L.Rev. 667 (2009) 

  • Lipner, Solving the Medical Malpractice Crisis Without Government Help, New York Law Journal, December 20, 2007, at p. 5

  • Lipner, A Study of Arbitration Recovery Statistics, The Neutral Corner (NASD Newsletter to arbitrators), April 2007 (see also Chapters in Books, infra)

  • Lipner, Dispute Resolution: From Torah to Talmud to Today, 16 Review of International Arbitration (Columbia Law School) pp.315-322 (2007)

  • Lipner, Using Pattern Jury Instructions in Arbitration, 12 PIABA L.J., 3-9 (2006)

  • Lipner, Statutes of Limitations in New York, Measuring, Tolling and Shortening, 13 PIABA B.J., No. 1, pp 2 - 7 (2006)

  • Lipner, The Courts Finally Decide Who Decides, 12 PIABA B.J. No.1, pp.6-10 (2005)

  • Lipner, Exculpatory Agreements Involving Fiduciaries, 11 PIABA B.J. No.4, pp. 2-4 (2004)

  • Lipner, Investment Managers, Fiduciary Breaches and Over-Concentrated Accounts, 11 PIABA B.J. No.3,  pp. 2-6 (2004)

  • Lipner, Some Thoughts on Arbitration, Arbitration Practice and PIABA, 11 PIABA B.J. No.2, pp. 3-5 (2004)

  • Lipner, Vacatur in New York: Arbitrator Misconduct, 11 PIABA B.J. No.1, pp. 23-27 (2004)

  • Lipner, Some Old New York Damages Cases That Just Might Apply Today, 10 PIABA B.J. No.3, pp. 2-4 (2003)

  • Lipner, Phony as a $3 Bill: Attorney Issued Discovery Subpoenas In Arbitration, PIABA Bar Journal, Vol. 10, No.2, at  p.2 (2003)

  • Lipner, Jurisdiction and Arbitration,  PIABA Bar Journal, Vol. 10, No.1, at p. 3 (2003)

  • Lipner, Fraud in the Inducement: Claims Can Be Made Against Brokers (and Lawyers), PIABA Bar Journal, Vol. 9, No.4, at p.24, (2003)

  • Lipner, The Impropriety of Confidentiality Orders in Securities Arbitration, PIABA Bar Journal, Vol.9, No.3, at p. 3 (2002)

  • Lipner, Of Broker Dealers, Investment Advisors and Exculpatory Contracts, PIABA Bar. Journal, Vol.9, No.2, at  p.13 (2002)

  • Lipner, The Easter Bunny, the Self-Critical Analysis Privilege, and Other Figments of the Securities Industry's Imagination, PIABA Bar Journal, Vol.9, No.1, at p.11 (2002)

 

Books

  • Lipner, Long & Jacobson, SECURITIES ARBITRATION DESK REFERENCE, Thompson/West (2014-2015 edition)

  • Lipner, LAW & INTERNATIONAL BUSINESS, Linus Publications (2007) approx 400 pages

  • Friedman, Hildebrand & Lipner, A VENDOR'S GUIDE TO COMPUTER CONTRACTING, Prentice Hall Law and Business, 1994.

  • Lipner, THE LEGAL AND ECONOMIC ASPECTS OF GRAY MARKET GOODS, Quorum Books, 1990.

  • Lipner, COMPUTER LAW: CASES AND MATERIALS. (with Stephen Kalman). Merrill Books, 1989.

 

Chapters in Books

  • Lipner, S. The New FINRA Suitability Rules, in Securities Arbitration 2012. (pp. 173-194). Practicing Law Institute (2012)

  • Lipner, The Perfect Storm Defense; Bad Metaphor, Bad Defense, Chapter in SECURITIES ARBITRATION 2007, edited by David E. Robbins, Practicing Law Institute, 2009

  • Lipner, The Tort of Giving Negligent Information: Important Investor Protection Under New York Law, Chapter in SECURITIES ARBITRATION 2007, edited by David E. Robbins, Practicing Law Institute, 2007.

  • Lipner, Reckoning Time in New York, chapter in SECURITIES ARBITRATION 2006, edited by

  • David Robbins, Practising Law Institute, 2006.

  • Lipner, Why Arbitration Recovery Statistics are Meaningless, chapter in SECURITIES ARBITRATION 2005, edited by David E. Robbins. Practising Law Institute, 2005 (subsequently featured in "PLI All-Stars" weekly e-message), reprinted in 12 PIABA B.J. No.2, pp. 3-7 (2005)

  • Lipner, "The Second Report of The Shadow Task Force on Securities Arbitration Reform: The Shadow Returns", chapter in SECURITIES ARBITRATION 2003, edited by David E. Robbins. Practising Law Institute, 2003, reprinted in 10 PIABA B.J. No.4, pp. 2-8 (2003)

  • Lipner, The Use and Abuse of Subpoenas in Arbitration: a Primer on Third-Party Discovery, chapter in SECURITIES ARBITRATION 2001, edited by David E. Robbins. Practising Law Institute, 2001.

  • Lipner, Ideas Whose Time Has Come: The Single Arbitrator and Reasoned Awards, chapter in SECURITIES ARBITRATION 2000, edited by David E. Robbins. Practising Law Institute, 2000.

  • Lipner, Law of Churning, chapter in SECURITIES ARBITRATION 1999, edited by David E. Robbins. Practising Law Institute, 1999.

  • Lipner, Report of the Shadow Task Force on Securities Arbitration Reform, chapter in SECURITIES ARBITRATION 1997, edited by David E. Robbins. Practising Law Institute, 1997.

 

Forbes Columns

 

Other Notable Writings

  • Lipner, "The Case Against Restitution", Op-Ed, The New York Times, May 2, 2003 "Victims of the Bull Market", WallStreetPoet.com (guest poet) 2002.

 

Professional Activities

  • Counseled thousands of investors and financial industry employees about rights and responsibilities in the securities industry.

  • Represented hundreds of individuals and other entities in arbitration/litigation involving the retail securities industry.

  • Lectured in numerous fora, including PLI, The ABA, The New York State, City and County Bar Associations, and numerous PIABA Annual Bar Association Meetings, about securities laws, securities industry self-regulation, securities arbitration and the workings of the securities industry.

  • Lead Counsel for public investors in In re Adler Coleman - the largest SIPC liquidation ever.

  • Participated in presentations to investigating/reforming bodies, including the House Subcommittee on Financial Services, The NASD Task Force on Securities Arbitration Reform (The "Ruder Commission"), and the NYSE.

  • Participated in creation and presentation of various arbitrator-training materials used by NYSE and NASD.

  • Frequent commentator to SEC on NASD/NYSE rule change proposals

  • Argued numerous leading cases on arbitration law and securities arbitration in the New York Court of Appeals and various intermediate-level state and federal appellate courts.

  • Authored Amicus Curiae briefs in numerous state and appellate cases on arbitration law and securities arbitration, including in the United States Supreme Court in Shearson v. Mastrobuono.

  • President, Public Investors Arbitration Bar Association, 1994-95 and 2000-01; Secretary and Member of Board of Directors 1990 - 2005

  • Member, National Arbitration and Mediation Committee.

  • National Association of Securities Dealers, 1999-2002.

  • Member, Board of Editors, Securities Arbitration Commentator, 1999-2001

  • Contributing Editor, PIABA Bar Journal, 2002-present

 

Awards and Honors

  • President’s Award for Distinguished Service to Baruch College, 2007

  • Faculty Inductee, Beta Gamma Sigma (2004)

  • Jim Beckley Award, Public Investors Arbitration Bar Association, 2001

  • Zicklin School of Business Teaching Excellence Award, 2001

  • Board of Directors, Hildegard Lash Foundation, 1995-present

 

Academic Activities

  • Chair, Undergraduate Curriculum Committee, Zicklin School of Business, 1993 - 2014

  • Chair, College Curriculum Committee, 1998-present

  • Chair, College Committee on Financial Aid, 1991-92; member 1983-91

  • Chair, Faculty Advisory Council, Bernard L. Schwartz Communication Institute

  • Member, Faculty Advisory Council, Weissman Center for International Business

  • Member, Law Dept. Executive Committee, 1997-present

  • Member, Law Dept. Strategic Planning Committee

  • Member and Participant, Provost's Seminar on Teaching Ethics, 2003

  • Developed, taught, and created course and course materials for new course in Law and E-Business.

  • Created and wrote (unpublished) 500-page book on Law and International Business which is used as course materials for graduate and undergraduate course in the subject.

  • Developed new course in "Marketing and Law", covering, inter alia, intellectual property, false advertising, consumer law, etc.

  • Developed new course in "Business Negotiation and Commercial Dispute Resolution."

  • Chaired faculty-development seminars for new law faculty

  • Chaired Dean's Task Force on Executive Non-Degree Education, 2003

  • Member of numerous other School, College and Departmental Committees

 

 

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