Seth Lipner

Education

LLM, Trade Regulation, New York University School of Law

J.D., Law, Albany Law School

B.S., Management, Rensselaer Polytechnic

Artistic and Creative Activities

Lipner, S. (2009). “Learning from Bernie”.

Lipner, S. (2008). "Oh No, I Own a CMO".

Lipner, S. (2008). "Goodnight SROP".

Lipner, S. (2008). "The ARS Mess".

Lipner, S. (2008). “Bad Week on Wall Street”.

Lipner, S. (2007). Ode to the NASD.

Lipner, S. (2002). Victims of the Bull Market.

Books

Lipner, S., Long, J., & Jacobson, W. (2024). Securities Arbitration Desk Reference 2024-25. (p. approx 1500). Thomson Reuters.

Lipner, S. (1992). A Vendor's Guide to Computer Contracting. (p. approx 600 pages). New Jersey, Prentice Law and Business.

Lipner, S. (1990). Legal and Economic Aspects of the Gray Market. (p. 230 pages). New York, Quorum Books.

Lipner, S. (1989). Computer Law: Cases and Material. (p. 597 pages). Merrill Publishing Co..

Journal Articles

Lipner, S. (2020). Confidentiality Agreements in Securities Arbitration: Rethinking the Form. PIABA Bar Journal, 27(2). pp.215-235.

Lipner, S. (2018). Claims of Privilege in Securities Arbitration. PIABA BAR JOURNAL, 25(2). 205-230.

Lipner, S. (2017). Assessing Damages in Bond Cases. PIABA Bar Journal, 24(1). 97-107.

Lipner, S. (2016). Issue Preclusion in FINRA Arbitration. PIABA B.J., 23(1). 59-73.

Lipner, S. (2015). Triple Play: FINRA’s New Rules on Suitability, Communication and Supervision Analyzed. Public Investors Arbitration Bar Journal, 22(2).

Lipner, S. (2014). The Reliability Requirement for Expert Testimony Applied to Securities Arbitration. 21.

Lipner, S. (2014). Arbitration Vacatur Petitions and the Waiver Doctrine. Public Investors Arbitration Bar Association Bar Journal, 21. 1-11.

(2011). Ex-Employees of Respondents Should Not Serve as Arbitrators. PIABA Bar Journal, 17(4). 337 - 351.

(2007). A Study of Arbitration Recovery Statistics. The Neutral Corner (NASD Periodical for arbitrators and forum participants),

(2007). Solving the Medical Malpractice Crisis Without Government Help. New York Law Journal, Page 5.

(2006). Statutes of Limitations in New York, Measuring, Tolling and Shortening. 13 PIABA B.J., (1). pp.2-7.

(2005). The Courts Finally Decide Who Decides. 12 PIABA B.J., (1). pp.6-10.

(2004). Exculpatory Agreements Involving Fiduciaries. 11 PIABA B.J., (4). pp.2-4.

(2004). Some Thoughts on Arbitration, Arbitration Practice and PIABA. 11 PIABA B.J., (2). pp.3-5.

(2004). Investment Managers, Fiduciary Breaches and Over-Concentrated Accounts. 11 PIABA B.J., (3). pp.2-6.

(2004). Vacatur in New York: Arbitrator Misconduct. 11 PIABA B.J., (1). pp.23-27.

(2004). Using Pattern Jury Instructions in Arbitration. 12 PIABA B.J., (1). pp.3-9.

(2003). Jurisdiction and Arbitration. PIABA Bar Journal, 10(1). p. 3.

(2003). Fraud in the Inducement Claims Can Be Made Against Brokers (and Lawyers). 9 PIABA B.J., (4).

(2003). Phony as a $3 Bill: Attorney Issued Discovery Subpoenas In Arbitration. PIABA Bar Journal, 10(2). p 2.

(2003). Some Old New York Damages Cases That Just Might Apply Today. 10 PIABA B.J., (3). pp.2-4.

(2002). The Easter Bunny, the Self-Critical Analysis Privilege, and other Figments of the Securities Industry's Imagination. 9 PIABA B.J., 1. p.1114.

(2002). Of Broker Dealers, Investment Advisors and Exculpatory Contracts. 9 PIABA BarJournal, (2). pp. 13-15.

(2002). The Impropriety of Confidentiality Orders in Securities Arbitration. 9 PIABA Bar Journal, (3). pp. 3-5.

Book Chapters

(2012). The New FINRA Suitability Rules. Securities Arbitration 2012 (pp. 173-194). ny, ny. Practicing Law Institute.

Lipner, S. (2009). The Perfect Storm Defense: Bad Metaphor, Bad Defense. In Robbins, D. E. (Ed.), Securities Arbitration Practicing Law Institute.

Lipner, S. (2007). The Tort of Giving Negligent Information: Important Investor Protection Under New York Law. In Robbins, D. E. (Ed.), SECURITIES ARBITRATION Practicing Law Institute.

Lipner, S. (2006). Reckoning Time in New York. In Robbins, D. E. (Ed.), Securities Arbitration Practicing Law Institute.

Lipner, S. (2005). Why Arbitration Recovery Statisitcs are Meaningless. SECURITIES ARBITRATION (pp. 3-7). PIABA Bar Journal.

Lipner, S. (2005). Why Arbitration Recovery Statisitcs are Meaningless. In Robbins, D. E. (Ed.), SECURITIES ARBITRATION Practicing Law Institute.

Lipner, S. (2005). Why Arbitration Recovery Statisitcs are Meaningless. SECURITIES ARBITRATION NASD's The Neutral Corner.

Lipner, S. (2003). The Second Report of the Shadow Task Force on Securities Arbitration Reform: The Shadow Returns. In Robbins, D. E. (Ed.), SECURITIES ARBITRATION Practicing Law Institute.

Lipner, S. (2001). The Use and Abuse of Subpoenas in Arbitration: A Primer on Third-Party Discovery. In Robbins, D. E. (Ed.), Securities Arbitration (pp. 833-856). Practicing Law Institute.

Lipner, S. (2000). Ideas Whose Time Has Come: The Single Arbitrator and Reasoned Awards. In Robbins, D. E. (Ed.), Securites Arbitrator (pp. 659-675). Practicing Law Institute.

Lipner, S. (1999). Law of Churning. In Robbins, D. E. (Ed.), Securities Arbitration, (pp. 309-348). Practicing Law Institute.

(1997). Report of the Shadow Task Force on Securities Arbitration Reform in Securities Arbitration by David E. Robbins. (pp. 333-352). Practicing Law Institute.

Law Reviews

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

Lipner, S. (2009). The Tort of Giving Negligent Investment Advice University of Memphis Law Rev.

Lipner, S. (2007). Dispute Resolution: From Torah to Talmud to Today 16 Review of International Arbitration (Columbia Law School).

Lipner, S. (1990). Trademarked Goods and their Gray Market Equivalents: Should Product Differences Result in the Barring of Unauthorized Goods from U.S. Markets? 18 Hofstra L.Rev. .

Lipner, S. (1989). Gray Market Controversies: The 1980's and Beyond 1989 Fletcher Forum.

Lipner, S. (1987). Gray Market Goulash: The Problem of At-the-Border Restrictions on Importation in Genuine Trademark Goods Cornell Inter. L.J., .

Lipner, S. (1986). Horizontal Mergers, General Dynamics and its Progeny: Requiem for a Presumption S. Texas L.J..

Lipner, S. (1985). International Antitrust Law: To Arbitrate or Not to Arbitrate Geo. Wash. J. Inter. L. & Econ..

Lipner, S. (1984). Restricted Distribution at the FTC: Rule of Reason or Reign of Chaos? J. Marshall L. Rev..

Lipner, S. (1984). The Legality of Parallel Imports: Trademark, Antitrust or Equity? Tex. J. Inter. L..

Lipner, S. (1983). Antitrust's Per Se Rule: Reports of its Death are Greatly Exaggerated Denver L.J..

Lipner, S. (1982). The Legality of Franchise Lease-Tying Albany L. Rev.

Media Contributions

Lipner, S. (2013). The New York Times.

Lipner, S. (2013). The New York Times.

Lipner, S. (2011). Will FINRA Stop the Structured Products Insanity?.

Lipner, S. (2010). Madoff Feeder Funds Lose Their Immunity.

Lipner, S. (2010). Do I have To Read The Prospectus?.

Lipner, S. (2010). UBS Having Hard Time With Lehman Structured Products Arbitration.

Lipner, S. (2010). Don't Count On The Government To Save You From The Sharks.

Lipner, S. (2010). How Fannie And Freddie Unloaded Their Trash.

Lipner, S. (2010). The Usual Wall Street Defenses Aren't Working.

Lipner, S. (2010). Where Was My Ticket On the Flight To Quality?.

Lipner, S. (2010). FINRA Arbitration Rule Change Pinches Investors.

Lipner, S. (2010). FINRA's New Suitability Rule Doesn't Go Far Enough.

Lipner, S. (2009). Brokers Behaving Badly.

Lipner, S. (2009). Should Securities Arbitration Be Mandatory.

Lipner, S. (2009). Is Arbitration Really Cheaper?.

Lipner, S. (2009). Suitability Claims.

Lipner, S. (2009). An Arbitration, Start to Finish.

Lipner, S. (2009). Know Your Broker Better.

Lipner, S. (2009). A Victory Over Fannie Mae.

Lipner, S. (2009). Beware Of New Investment Products.

Lipner, S. (2008). Crusaders for Corporate Accountability.

Lipner, S. (2001). The New York Times.

Presentations

Lipner, S. Securities Arbitration - various - over 30 years. Speaker at numerous conferences. NYCity; Around the country: NYSBA, PLI, PIABA.

Lipner, S. (2021, April 30). Experiences and Advice on Law School and Law Careers. zoom: Baruch College Pre-Law Society.

Lipner, S. (2016, December 4). The Fiduciary Duty: Advising the Advisors. Winter Institute. Scottsdale, Az: Investment Management Consultation Association.

Lipner, S. (2016, November 10). Magna Carta and the Jewish Clauses: A Matter of Jurisdiction. Law Dept Scholarship Series. Baruch College: Law Department, Baruch College.

Lipner, S. (2014, August 7). "The Chaparral Goes Viral". Annual Meeting. Seattle, WA: Academy of Legal Studies in Business.

Lipner, S., & Henning, P. (2011, May 10). The Madoff Clawbacks: Whose Money Is It?. Baruch: Zicklin Center for Corporate Integrity.

Lipner, S. (1995, December 31). Punitive Damages in Arbitration. New York Stock Exchange Symposium on Securities Arbitration. New York City: NYSE.

Other Scholarly Works

Reviews

Lipner, S. (2003,January 1). Just Say No to a Restitution Fund. The New York Times.

Lipner, S. (1984,January 1). Book Review. Maryland J. Inter. L. & Trade.

College

University

Professional

Public