Sean J. Griffith

Fordham University School of Law

Professor

150 West 62nd Street

New York, NY 10023

United States

European Corporate Governance Institute (ECGI)

c/o the Royal Academies of Belgium

Rue Ducale 1 Hertogsstraat

1000 Brussels

Belgium

  • Fordham University School of Law

  • European Corporate Governance Institute (ECGI)

SCHOLARLY PAPERS

33

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23,415

SSRN CITATIONS
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Top 11,373

in Total Papers Citations

62

CROSSREF CITATIONS

63

Scholarly Papers (33)

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1.

Corporate Governance in an Era of Compliance

William & Mary Law Review, Vol. 57, No. 6, 2016, Fordham Law Legal Studies Research Paper No. 2766661
Number of pages: 66 Posted: 20 Apr 2016
Sean J. Griffith
Fordham University School of Law
Downloads 3,841 (4,739)
Citation 7

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compliance, corporate governance, enforcement, corporate prosecution, fcpa, deferred prosecution, caremark

2.

Predicting Corporate Governance Risk: Evidence from the Directors' and Officers' Liability Insurance Market

Chicago Law Review, Vol. 74, p. 487, 2007
Number of pages: 58 Posted: 19 Jun 2006 Last Revised: 26 Mar 2008
Tom Baker and Sean J. Griffith
University of Pennsylvania Carey Law School and Fordham University School of Law
Downloads 2,528 (9,346)
Citation 8

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corporate governance, insurance, securities, empirical research, qualitative research

3.

The Missing Monitor in Corporate Governance: The Directors' & Officers' Liability Insurer

Georgetown Law Journal, Vol. 95, p. 1795, 2007
Number of pages: 48 Posted: 23 Nov 2006 Last Revised: 17 Jun 2009
Tom Baker and Sean J. Griffith
University of Pennsylvania Carey Law School and Fordham University School of Law
Downloads 1,449 (22,452)
Citation 15

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insurance, corporate governance, directors and officers

4.

How the Merits Matter: D&O Insurance and Securities Settlements

University of Pennsylvania Law Review, Vol. 157, pp. 755, 2009, 3rd Annual Conference on Empirical Legal Studies Papers, U of Penn, Inst for Law & Econ Research Paper No. 08-22, Fordham Law Legal Studies Research Paper No. 1101068
Number of pages: 78 Posted: 17 May 2008 Last Revised: 03 Jun 2009
Tom Baker and Sean J. Griffith
University of Pennsylvania Carey Law School and Fordham University School of Law
Downloads 1,362 (24,562)

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Securities, class actions, settlement, insurance, litigation

5.

Deal Insurance: Representation & Warranty Insurance in Mergers and Acquisitions

104 Minnesota Law Review 1839 (2020), Fordham Law Legal Studies Research Paper, European Corporate Governance Institute - Law Working Paper No. 464/2019
Number of pages: 89 Posted: 12 Jun 2019 Last Revised: 06 Aug 2020
Sean J. Griffith
Fordham University School of Law
Downloads 1,254 (27,758)

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mergers, acquisitions, contract, insurance, representations, warranties, private equity, indemnification, escrow, adverse selection, moral hazard, credible commitment, M&A, deal, rep & warranty, transaction insurance

6.

Predicting Securities Fraud Settlements and Amounts: A Hierarchical Bayesian Model of Federal Securities Class Action Lawsuits

Journal of Empirical Legal Studies, Vol. 9, Pg. 482, Sept. 2012, U of Penn, Inst for Law & Econ Research Paper No. 12-20
Number of pages: 30 Posted: 30 Apr 2012 Last Revised: 26 Jul 2012
Blakeley B. McShane, Oliver P. Watson, Tom Baker and Sean J. Griffith
Northwestern University - Kellogg School of Management, Tudor Investment Corporation, University of Pennsylvania Carey Law School and Fordham University School of Law
Downloads 1,172 (30,689)
Citation 2

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class, action, securities, fraud, lawsuit, litigation, bayesian, hierarchical

7.

Good Faith Business Judgment: A Theory of Rhetoric in Corporate Law Jurisprudence

Number of pages: 69 Posted: 25 May 2005
Sean J. Griffith
Fordham University School of Law
Downloads 957 (40,844)

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Good faith, fiduciary duty, loyalty, care, corporate law, jurisprudence, Delaware, shareholder litigation, disney, rhetoric, authority, accountability, thaumatrope

8.

What’s “Controversial” About ESG? A Theory of Compelled Commercial Speech under the First Amendment

Nebraska Law Review, Vol. 101, No. 876, 2023, Fordham Law Legal Studies Research Paper No. 4118755
Number of pages: 69 Posted: 31 May 2022 Last Revised: 16 Jun 2023
Sean J. Griffith
Fordham University School of Law
Downloads 818 (50,780)
Citation 1

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ESG, climate, SEC, securities regulation, First Amendment, commercial speech, compelled speech, investor protection, controversy, climate risk, disclosure, mandate

9.

Confronting the Peppercorn Settlement in Merger Litigation: An Empirical Analysis and a Proposal for Reform

Texas Law Review, Vol. 93, P. 557, 2015, U of Penn, Inst for Law & Econ Research Paper No. 14-4
Number of pages: 68 Posted: 18 Feb 2014 Last Revised: 03 Mar 2015
Jill E. Fisch, Sean J. Griffith and Steven Davidoff Solomon
University of Pennsylvania Carey Law School, Fordham University School of Law and University of California, Berkeley - School of Law
Downloads 808 (51,573)
Citation 10

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Mergers and acquisitions, M&A, law and economics, empirical legal studies, legal profession, legal fees, federal securities law, state corporation law, Delaware corporation law, corporate governance, publicly traded companies, deal litigation, non-pecuniary relief, federalism, jurisdiction

10.

Agency, Authority, and Compliance

Cambridge Handbook on Compliance, Sokol & van Rooij, eds., Forthcoming, Fordham Law Legal Studies Research Paper No. 3462638, European Corporate Governance Institute - Law Working Paper No. 516/2020
Number of pages: 20 Posted: 11 Oct 2019 Last Revised: 15 May 2020
Sean J. Griffith
Fordham University School of Law
Downloads 713 (60,979)

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compliance, corporate governance, enforcement, regulation, ethics, legal, general counsel, chief compliance officer, rule of law, ethics officer, administrative procedure act, prosecutor

11.

Does Revlon Matter? An Empirical and Theoretical Study

European Corporate Governance Institute - Law Working Paper No. 466/2019
Number of pages: 55 Posted: 12 Jul 2019 Last Revised: 13 Jan 2021
Matthew D. Cain, Sean J. Griffith, Robert J. Jackson Jr. and Steven Davidoff Solomon
Berkeley Center for Law and Business, Fordham University School of Law, New York University School of Law and University of California, Berkeley - School of Law
Downloads 678 (65,152)
Citation 4

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Corporate Law, M&A, enhanced scrutiny, Revlon duties, takeovers, merger litigation, Corwin, Fiduciary Duties, Delaware, empirical, machine learning, negotiation process, deal premium

12.

Unleashing a Gatekeeper: Why the Sec Should Mandate Disclosure of Details Concerning Directors' & Officers' Liability Insurance Policies

U of Penn, Inst for Law & Econ Research Paper No. 05-15
Number of pages: 42 Posted: 25 May 2005
Sean J. Griffith
Fordham University School of Law
Downloads 617 (73,403)
Citation 6

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Corporate governance, insurance, director, officer, liability, gatekeeper, mandate, disclosure, litigation

13.

The SEC's Misguided Climate Disclosure Rule Proposal

GWU Legal Studies Research Paper No. 61, 2022, GWU Law School Public Law Research Paper No. 61, 2022, Virginia Law and Economics Research Paper No. 2022-27, 41 Banking & Financial Services Policy Report 1, 2022, Northwestern Law & Econ Research Paper No. 22-17, Stanford University Graduate School of Business Research Paper No. 4256724
Number of pages: 14 Posted: 27 Oct 2022 Last Revised: 05 Jan 2023
Lawrence A. Cunningham, Stephen M. Bainbridge, Jonathan Berk, Sanjai Bhagat, Bernard S. Black, William J. Carney, David J. Denis, Diane K. Denis, Charles M. Elson, Jesse M. Fried, Sean J. Griffith, Jonathan M. Karpoff, F. Scott Kieff, Edmund W. Kitch, Kate Litvak, Julia D. Mahoney, Paul G. Mahoney, Adam C. Pritchard, Dale A. Oesterle, Roberta Romano, Christina Parajon Skinner and Todd J. Zywicki
George Washington University, University of California, Los Angeles (UCLA) - School of Law, Stanford Graduate School of Business, University of Colorado at Boulder - Department of Finance, Northwestern University - Pritzker School of Law, Emory University School of Law, University of Pittsburgh, University of Pittsburgh - Katz School of Business, University of Delaware - John L. Weinberg Center for Corporate Governance, Harvard Law School, Fordham University School of Law, University of Washington - Michael G. Foster School of Business, George Washington University - Law School, University of Virginia School of Law, Northwestern University - Pritzker School of Law, University of Virginia School of Law, University of Virginia School of Law, University of Michigan Law School, Ohio State University (OSU) - Michael E. Moritz College of Law, Yale Law School, University of Pennsylvania - The Wharton School and George Mason University - Antonin Scalia Law School
Downloads 577 (79,787)

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SEC authority, climate disclosure, ESG, institutional investors, individual investors, information economics, government policy, financial markets, government power

14.

Spinning and Underpricing: A Legal and Economic Analysis of the Preferential Allocation of Shares in Initial Public Offerings

Number of pages: 67 Posted: 07 Apr 2004
Sean J. Griffith
Fordham University School of Law
Downloads 547 (85,272)

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spinning, underpricing, ipo, initial public offering, securities law, issue, issuer, underwriter, conflict of interest, duty of loyalty

15.

The Market for Preclusion in Merger Litigation

Vanderbilt Law Review, Forthcoming, Fordham Law Legal Studies Research Paper No. 2155809
Number of pages: 77 Posted: 04 Oct 2012
Sean J. Griffith and Alexandra D. Lahav
Fordham University School of Law and Cornell Law School
Downloads 524 (89,951)
Citation 1

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merger litigation, M&A, corporations, civil procedure, federalism, comity, reverse auction, objector, multi-jurisdictional litigation, Delaware

16.

Dead Hand Proxy Puts, Hedge Fund Activism, and the Cost of Capital

Number of pages: 55 Posted: 23 Jun 2016 Last Revised: 20 Jan 2018
Sean J. Griffith and Natalia Reisel
Fordham University School of Law and Fordham University
Downloads 513 (92,319)

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debt contract design, shareholder-debtholder conflict, agency cost of debt, hedge fund activism, defensive provisions, proxy fights

17.

Opt-In Stewardship: Toward an Optimal Delegation of Mutual Fund Voting Authority

98 Texas Law Review 983 (2020), European Corporate Governance Institute - Law Working Paper No. 463/2019
Number of pages: 72 Posted: 20 Jun 2019 Last Revised: 06 Aug 2020
Sean J. Griffith
Fordham University School of Law
Downloads 481 (100,146)
Citation 4

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mutual funds, voting, proxy voting, index funds, stewardship, ESG, activism, M&A, shareholder proposals, shareholder voting, rational apathy, institutional investors, environmental and social, purpose, SEC, department of labor, fiduciary duty

18.

How Corporate Governance Is Made: The Case of the Golden Leash

University of Pennsylvania Law Review, Vol. 164, P. 649, 2016, U of Penn, Inst for Law & Econ Research Paper No. 15-26, UC Berkeley Public Law Research Paper No. 2635161
Number of pages: 54 Posted: 24 Jul 2015 Last Revised: 18 Mar 2016
Matthew D. Cain, Jill E. Fisch, Sean J. Griffith and Steven Davidoff Solomon
Berkeley Center for Law and Business, University of Pennsylvania Carey Law School, Fordham University School of Law and University of California, Berkeley - School of Law
Downloads 473 (101,864)

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Corporate governance, corporation law, activist-nominated directors, director compensation, golden leash, shareholder activism, activist investors, institutional investors, event study, share pricing, governance innovations

19.

Private Ordering Post-Trulia: Why No Pay Provisions Can Fix the Deal Tax and Forum Selection Provisions Can't

The Corporate Contract in Changing Times, Steven Davidoff Solomon and Randall S. Thomas, eds., (2017 Forthcoming), Fordham Law Legal Studies Research Paper No. 2855950
Number of pages: 25 Posted: 26 Oct 2016 Last Revised: 06 Jan 2017
Sean J. Griffith
Fordham University School of Law
Downloads 459 (105,568)
Citation 1

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merger litigation, deal tax, Trulia, forum selection, exclusive forum, no pay, fee shifting, multiforum, corporate law, Delaware, M&A

20.

Correcting Corporate Benefit: How to Fix Shareholder Litigation by Shifting the Doctrine on Fees

Boston College Law Review, Vol. 56, No. 1, 2015, Fordham Law Legal Studies Research Paper No. 2496395
Number of pages: 61 Posted: 16 Sep 2014 Last Revised: 28 Feb 2015
Sean J. Griffith
Fordham University School of Law
Downloads 378 (132,213)
Citation 2

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corporate law, shareholder litigation, Delaware, attorneys' fees, corporate benefit, fee shifting, derivative suit, class action, mergers, acquisitions, corporate governance

21.

Governing Systemic Risk: Towards a Governance Structure for Derivatives Clearinghouses

Emory Law Journal, Vol. 61, No. 5, 2012, Fordham Law Legal Studies Research Paper No. 2157693
Number of pages: 88 Posted: 06 Oct 2012
Sean J. Griffith
Fordham University School of Law
Downloads 367 (136,582)
Citation 1

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derivatives, clearinghouse, Dodd-Frank, governance, financial regulation, systemic risk, counterparty credit risk, CFTC, SEC, DCO

22.

The Costs and Benefits of Transactional Certainty: An Appraisal of Omnicare V. Ncs Healthcare

Number of pages: 76 Posted: 18 Aug 2003
Sean J. Griffith
Fordham University School of Law
Downloads 356 (141,272)
Citation 1

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Omnicare, NCS, takeover, merger, acquisition, deal protection, lock up, precommitment, fiduciary out, last period, final period, delaware supreme court, transactional certainty, merger agreement

23.

The Good Faith Thaumatrope: A Model of Rhetoric in Corporate Law Jurisprudence

Number of pages: 84 Posted: 31 Dec 2004
Sean J. Griffith
Fordham University School of Law
Downloads 343 (147,087)
Citation 2

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Good faith, fiduciary duty, loyalty, care, corporate law, jurisprudence, Delaware, shareholder litigation, disney, rhetoric, authority, accountability

24.

The Puzzling Persistence of the Fixed Price Offering: Implicit Price Discrimination in Ipos

Number of pages: 19 Posted: 08 Sep 2005
Sean J. Griffith
Fordham University School of Law
Downloads 310 (163,657)
Citation 3

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IPO, IPOs, public offerings, securites, SEC, securities law, price discrimination, fixed price, initial public offering, primary market, underwriter, issuer, spinning, implicit price discrimination

25.

A Mission Statement for Mutual Funds in Shareholder Litigation

University of Chicago Law Review, Forthcoming, European Corporate Governance Institute - Law Working Paper No. 468/2019, USC CLASS Research Paper No. CLASS19-23, USC Law Legal Studies Paper No. 19-23
Number of pages: 98 Posted: 22 Jul 2019 Last Revised: 31 Jul 2020
Sean J. Griffith and Dorothy S. Lund
Fordham University School of Law and Columbia Law School
Downloads 299 (170,078)
Citation 1

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mutual funds, index funds, institutional investors, corporate governance, stewardship, litigation, shareholder, engagement, monitoring, agency problems, activism, hedge fund, pension fund, market investor

26.

Class Action Nuisance Suits: Evidence from Frequent Filer Shareholder Plaintiffs

Cambridge International Handbook of Class Actions, Fitzpatrick & Thomas, eds. , Fordham Law Legal Studies Research Paper No. 3470330, European Corporate Governance Institute - Law Working Paper No. 502/2020
Number of pages: 26 Posted: 16 Oct 2019 Last Revised: 14 Jan 2022
Sean J. Griffith
Fordham University School of Law
Downloads 298 (170,671)

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class action, litigation, shareholder, securities, PSLRA, private securities litigation, plaintiff, frequent filer, nuisance, mootness

27.

Toward an Interest Group Theory of Foreign Anti-Corruption Laws

University of Illinois Law Review, Vol. 2019, No. 4, 2019
Number of pages: 40 Posted: 11 Sep 2019
Sean J. Griffith and Thomas H. Lee
Fordham University School of Law and Fordham University School of Law
Downloads 267 (191,041)

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FCPA, anti-bribery, anti-corruption, bribery, corruption, Foreign Corrupt Practices Act, UK Bribery Act, interest group, political economy, K-group

28.

Conflicted Mutual Fund Voting in Corporate Law

Boston University Law Review, Vol. 99, No. 1151, 2019
Number of pages: 42 Posted: 28 Jun 2019
Sean J. Griffith and Dorothy S. Lund
Fordham University School of Law and Columbia Law School
Downloads 252 (202,372)

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29.

Resolving the Crisis in U.S. Merger Regulation: A Transatlantic Alternative to the Perpetual Litigation Machine

Yale Journal on Regulation, Vol. 35, No. 1, 2018, Fordham Law Legal Studies Research Paper No. 3136458
Number of pages: 66 Posted: 09 Mar 2018 Last Revised: 12 Mar 2018
Sean J. Griffith, Dan Awrey and Blanaid J. Clarke
Fordham University School of Law, Cornell Law SchoolEuropean Corporate Governance Institute and Trinity College Dublin - School of Law
Downloads 238 (213,881)
Citation 2

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30.

Substituted Compliance and Systemic Risk: How to Make a Global Market in Derivatives Regulation

Minnesota Law Review, Vol. 98, No. 1291, 2014, Fordham Law Legal Studies Research Paper No. 2433049
Number of pages: 84 Posted: 07 May 2014
Sean J. Griffith
Fordham University School of Law
Downloads 194 (258,814)
Citation 2

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31.

What Would We Do Without Them: Whistleblowers in the Era of Sarbanes-Oxley and Dodd-Frank

23 Fordham Journal of Corporate & Financial Law 379, Baruch College Zicklin School of Business Research Paper No. 2018-07-03
Number of pages: 58 Posted: 20 Jun 2018 Last Revised: 25 Jul 2018
Sean J. Griffith, Jane A. Norberg, Ian Engoron, Alice BrightSky, Tracey McNeil, Jennifer M. Pacella, Judith Weinstock and Jason Zuckerman
Fordham University School of Law, U.S. Securities and Exchange Commission, Fordham University, School of Law, Students, Fordham University School of Law, U.S. Securities and Exchange Commission, Indiana University, Kelley School of Business, U.S. Securities and Exchange Commission and Zuckerman Law
Downloads 155 (314,358)

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32.

Dead Hand Proxy Puts and Shareholder Value

University of Chicago Law Review, Vol. 84, No. 3, 2017, Fordham Law Legal Studies Research Paper No. 3139674
Number of pages: 64 Posted: 14 Mar 2018
Sean J. Griffith and Natalia Reisel
Fordham University School of Law and Fordham University
Downloads 102 (431,036)

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33.

The Omnipresent Specter of Omnicare

38 The Journal of Corporation Law 4, pp. 101-141 (2013), Fordham Law Legal Studies Research Paper No. 2433047
Number of pages: 42 Posted: 07 May 2014
Sean J. Griffith
Fordham University School of Law
Downloads 85 (484,692)

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