James Anthony Fanto is a Florence Rogatz Visiting Professor of Law at Yale Law School and the Gerald Baylin Professor of Law at Brooklyn Law School, where he serves as co-director of the Center for the Study of Business Law and Regulation.Fanto also teaches at the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP) program, held at Georgetown University’s McDonough School of Business. He teaches courses on banking, compliance, corporations, securities law, and corporate finance. In addition, he writes, speaks, and consults on legal matters relating to business organizations, broker-dealers, compliance, and securities regulation. He is the author of numerous articles and books, most recently “Broker-Dealer Compliance: A Case-Based Guide to Compliance Program Elements and Practices” (Edward Elgar, 2023); “Understanding Corporate Law” (Carolina Academic Press, 6th ed. 2023, with Arthur Pinto); and “Broker-Dealer Law and Regulation” (Wolters Kluwer, 5th ed. 2019, annually updated, with Jill Gross). He is also an editor and the co-founder of Corporate and Financial Law: Interdisciplinary Approaches, an electronic journal in the Social Science Research Network. He was an associate reporter for the American Law Institute’s Principles of the Law: Compliance and Enforcement for Organizations. Before becoming a law professor, he practiced banking, corporate, and securities law with Davis Polk in Washington, Paris, and New York. He clerked for Justice Harry A. Blackmun on the U.S. Supreme Court and Judge Louis H. Pollak on the U.S. District Court for the Eastern District of Pennsylvania. He earned a B.A. from the University of Notre Dame, M.A. and Ph.D. degrees from the University of Michigan, and a J.D. from the University of Pennsylvania Law School.
