James D. Cox

Duke University School of Law

Professor of Law

210 Science Drive

Box 90362

Durham, NC 27708

United States

SCHOLARLY PAPERS

41

DOWNLOADS
Rank 3,858

SSRN RANKINGS

Top 3,858

in Total Papers Downloads

12,941

SSRN CITATIONS
Rank 7,614

SSRN RANKINGS

Top 7,614

in Total Papers Citations

91

CROSSREF CITATIONS

84

Scholarly Papers (41)

1.

Financial Reporting Fraud and Other Forms of Misconduct: A Multidisciplinary Review of the Literature

Review of Accounting Studies, 2018, Vol 23(2), 732-783, Columbia Business School Research Paper No. 17-87
Number of pages: 90 Posted: 22 Aug 2017 Last Revised: 25 May 2018
Tel Aviv University - Coller School of Management, Florida State University, Duke University School of Law, Georgetown University - Robert Emmett McDonough School of Business, University of Washington - Michael G. Foster School of Business and University of Southern California - Leventhal School of Accounting
Downloads 1,493 (15,720)
Citation 21

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Financial reporting, fraud, misconduct, irregularities, misreporting, misrepresentation

2.

Sec Enforcement Actions for Financial Fraud and Private Litigation: An Empirical Inquiry

Duke Law Journal, Vol. 53, p. 737, 2003, Reprinted: Corporate Practice Commentator, Vol. 46, p. 65, 2004, Vanderbilt Law and Economics Research Paper No. 03-08
Number of pages: 24 Posted: 05 Aug 2003
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 1,310 (19,131)
Citation 19

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3.

Letting Billions Slip Through Your Fingers: Empirical Evidence and Legal Implications of the Failure of Financial Institutions to Participate in Securities Class Action Settlements

Stanford Law Review, Vol. 58, p. 411, 2005, Vanderbilt Law and Economics Research Paper No. 06-09, Duke Law School Public Law & Legal Theory Paper No. 107
Number of pages: 45 Posted: 27 Jan 2005
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 1,139 (23,613)
Citation 3

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Institutional Investors, securities class action settlements, Caremark decision

4.

The Oligopolistic Gatekeeper: The U.S. Accounting Profession

AFTER ENRON: IMPROVING CORPORATE LAW AND MODERNIZING SECURITIES REGULATION IN EUROPE AND THE U.S., Chapter 9, Oxford, Forthcoming, Duke Law School Legal Studies Paper No. 117
Number of pages: 49 Posted: 24 Aug 2006
James D. Cox
Duke University School of Law
Downloads 615 (55,286)

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5.

Supreme Court Amicus Brief of 19 Corporate Law Professors, Friedrichs v. California Teachers Association, No. 14-915

Number of pages: 55 Posted: 08 Nov 2015
Harvard Law School, Harvard Law School, Northwestern University - Pritzker School of Law, Columbia Law School, Duke University School of Law, Stanford Law School, Columbia Law School, Widener University Delaware Law School, Yale University - Law School, Professor of Law, New York University School of Law, University of Michigan Law School, Stanford Law School, Harvard Law School, Georgetown University Law Center, BC Law School, New York University School of Law, Harvard Law School and New York University (NYU)
Downloads 587 (58,589)

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corporate politics, union politics, First Amendment, shareholder rights, corporate speech

6.

Managing and Monitoring Conflicts of Interest: Empowering the Outside Directors with Independent Counsel

Number of pages: 21 Posted: 26 Nov 2003
James D. Cox
Duke University School of Law
Downloads 577 (59,828)
Citation 9

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Enron, Corporate Governance, Securities Law, Corporate Law, Sarbanes-Oxley

7.

There are Plaintiffs and... There are Plaintiffs: An Empirical Analysis of Securities Class Action Settlements

Vanderbilt Law Review, Vol. 61, p. 355, 2008, Vanderbilt Law and Economics Research Paper No. 07-33, U of Cincinnati Public Law Research Paper No. 07-32
Number of pages: 33 Posted: 07 Nov 2007 Last Revised: 23 Dec 2014
Duke University School of Law, Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management and University of Cincinnati - College of Law
Downloads 528 (66,925)
Citation 3

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plaintiffs, securities, empirical class actions

8.

Leaving Money on the Table: Do Institutional Investors Fail to File Claims in Securities Class Actions?

80 Washington Law Quarterly 855 (2002), Vanderbilt Law and Economics Research Paper No. 02-07
Number of pages: 42 Posted: 09 Aug 2002 Last Revised: 26 Aug 2017
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 499 (71,816)
Citation 10

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9.

Public and Private Enforcement of the Securities Laws: Have Things Changed Since Enron?

80 Notre Dame Law Review 893 (2005), Vanderbilt Law and Economics Research Paper No. 05-02
Number of pages: 15 Posted: 27 Jan 2005 Last Revised: 26 Aug 2017
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 491 (73,175)
Citation 8

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SEC, Securities Laws, Enron6

10.

Delaware's Retreat: Exploring Developing Fissures and Tectonic Shifts in Delaware Corporate Law

Delaware Journal of Corporate Law (DJCL), Vol. 42, No. 2, 2018, Vanderbilt Law Research Paper No. 18-17, Duke Law School Public Law & Legal Theory Series No. 2018-22
Number of pages: 68 Posted: 22 Feb 2018 Last Revised: 08 May 2018
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 473 (76,625)
Citation 1

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Delaware corporate law, Delaware precedents, institutional shareholder services, shareholder monitoring, judicial review

11.

Mapping the American Shareholder Litigation Experience: A Survey of Empirical Studies of the Enforcement of the U.S. Securities Law

6 European Company & Financial Law Review 164 (2009), Vanderbilt Law and Economics Research Paper No. 09-10, Duke Law School Public Law & Legal Theory Paper No. 246
Number of pages: 43 Posted: 01 Apr 2009 Last Revised: 06 Sep 2017
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 473 (76,625)
Citation 4

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Empirical Studies, Shareholder Litigation, PSLRA Provision, U.S. Securities Law

12.

Lying and Getting Caught: An Empirical Study of the Effect of Securities Class Action Settlements on Targeted Firms

University of Pennsylvania Law Review, Vol. 158, July 2010, Vanderbilt Law and Economics Research Paper No. 10-09, U of Cincinnati Public Law Research Paper No. 10-16
Number of pages: 69 Posted: 23 Mar 2010 Last Revised: 06 Sep 2017
University of Cincinnati - College of Law, Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 432 (85,341)
Citation 10

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Empirical Study, Securities Class Actions

13.

Quieting the Shareholders' Voice: Empirical Evidence of Pervasive Bundling in Proxy Solicitations

Southern California Law Review, Vol. 89:1179, 2016, Vanderbilt Law and Economics Research Paper No. 15-10, Columbia Business School Research Paper No. 15-56, Duke Law School Public Law & Legal Theory Series No. 2015-22
Number of pages: 65 Posted: 06 May 2015 Last Revised: 09 Dec 2016
Duke University School of Law, University of Miami - Miami Business School, Stanford Law School and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 373 (101,131)
Citation 3

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SEC, bundling rules, shareholder voting, empirical analysis

14.

Understanding the (Ir)Relevance of Shareholder Votes on M&A Deals

Vanderbilt Law Research Paper No. 19-06 , Duke Law School Public Law & Legal Theory Series No. 2019-12, European Corporate Governance Institute – Finance Working Paper No. 497/2020
Number of pages: 87 Posted: 21 Feb 2019 Last Revised: 23 Feb 2020
Duke University School of Law, Columbia University and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 312 (123,094)
Citation 6

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activism, agency costs, bundling rules, class actions, corporate elections, corporate directors, corporate governance, corporate/securities law, deal completion rates, Delaware court, Delaware law suits, empirical analysis, governance, institutional investors, litigation, M&A transactions

15.

Corporate Darwinism: Disciplining Managers in a World with Weak Shareholder Litigation

North Carolina Law Review, Vol. 95, No. 19, 2016, European Corporate Governance Institute (ECGI) - Law Working Paper No. 309/2016, Vanderbilt Law and Economics Research Paper No. 15-20, Duke Law School Public Law & Legal Theory Series No. 2015-46
Number of pages: 49 Posted: 29 Aug 2015 Last Revised: 13 Dec 2016
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 287 (134,503)
Citation 1

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Corporate Voting

16.

Does the Plaintiff Matter? an Empirical Analysis of Lead Plaintiffs in Securities Class Actions

Columbia Law Review, Vol. 106, p. 1587, Vanderbilt Law and Economics Research Paper No. 05-21
Number of pages: 69 Posted: 16 Aug 2005
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 263 (147,110)
Citation 5

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Lead Plaintiff, PSLRA

17.

Corporate Law and the Limits of Private Ordering

Washington University Law Review, Forthcoming, Duke Law School Public Law & Legal Theory Series No. 2015-47
Number of pages: 47 Posted: 10 Oct 2015 Last Revised: 29 Oct 2015
James D. Cox
Duke University School of Law
Downloads 261 (148,221)
Citation 1

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18.

Fair Pay for Chief Executive Officers

LAW AND CLASS IN AMERICA: TRENDS SINCE THE COLD WAR, Chapter 6, NYU Press, 2006, Duke Law School Legal Studies Paper No. 119
Number of pages: 22 Posted: 24 Aug 2006
James D. Cox
Duke University School of Law
Downloads 257 (150,494)

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19.

The Market Reaction to Legal Shocks and Their Antidotes: Lessons from the Sovereign Debt Market

Duke Law School Public Law & Legal Theory Paper No. 211
Number of pages: 38 Posted: 29 May 2008
Michael Bradley, James D. Cox and Mitu Gulati
Duke University - Fuqua School of Business, Duke University School of Law and University of Virginia School of Law
Downloads 249 (155,353)
Citation 10

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20.

Do Differences in Pleading Standards Cause Forum Shopping in Securities Class Actions?: Doctrinal and Empirical Analyses

2009 Wisconsin Law Review 421, Vanderbilt Law and Economics Research Paper No. 08-32, Duke Law School Public Law & Legal Theory Paper No. 227, U of Cincinnati Public Law Research Paper No. 09-01
Number of pages: 38 Posted: 22 Dec 2008 Last Revised: 24 Aug 2017
Duke University School of Law, Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management and University of Cincinnati - College of Law
Downloads 243 (159,027)
Citation 12

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Securities, class actions, Tellabs, fraud, PSLRA

21.

The Paradox of Delaware's 'Tools at Hand' Doctrine: An Empirical Investigation

Duke Law School Public Law & Legal Theory Series No. 2019-20, Vanderbilt Law Research Paper No. 19-10, European Corporate Governance Institute - Law Working Paper No. 498/2020
Number of pages: 64 Posted: 21 Mar 2019 Last Revised: 02 Mar 2020
Duke University School of Law, New Mexico State University - Department of Finance & Business Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 235 (164,289)

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Class Action Suits, Corporate Directors, Corporate Governance, Corporate/Securities Law, Delaware Court, Delaware Law Suits, Empirical Analysis, Fiduciary Principles, Litigation, Multi-Jurisdictional Shareholder Class Action Law Suits

22.

Coping in a Global Marketplace: Survival Strategies for a 75-Year-Old SEC

Duke Law School Public Law & Legal Theory Research Paper No. 221
Number of pages: 26 Posted: 24 Sep 2008
James D. Cox
Duke University School of Law
Downloads 205 (186,892)
Citation 3

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23.

Petition for Rulemaking on Short and Distort

Number of pages: 8 Posted: 14 Mar 2020
Columbia Law School, Columbia Law School, Duke University School of Law, University of Florida Levin College of Law, Cleary Gottlieb Steen & Hamilton LLP, Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management, affiliation not provided to SSRN, Georgetown University Law Center, Stanford Law School, University of California, Los Angeles (UCLA) - School of Law, Georgetown University Law Center and Cornell Law School
Downloads 191 (199,276)

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Short, Distort, Law, Finance, Disclosure

24.

Resisting the Return to Managerialism: Institutionalizing the Shareholder Voice in the Monitoring Model

Duke Law School Public Law & Legal Theory Series No. 2020-81
Number of pages: 24 Posted: 23 Nov 2020
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 188 (202,161)

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Monitoring model ,director monitoring, shareholder monitoring, managerialism, shareholder activism, hedge fund activism, new paradigm, stakeholder primary, ESG paradigm stakeholder primacy ESG

25.

Mutual Fund Expense Disclosures: A Behavioral Perspective

Washington University Law Quarterly, Vol. 83, p. 907, 2005, Duke Law School Legal Studies Paper No. 118
Number of pages: 33 Posted: 24 Aug 2006
James D. Cox
Duke University School of Law
Downloads 186 (204,063)

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26.

Supreme Court Amicus Brief of 22 Corporate Law Professors, Mark Janus v. American Federation of State, County and Municipal Employees, Council 31, et aL, No. 16-1466

Number of pages: 56 Posted: 02 Jan 2018
Harvard Law School, Harvard Law School, Columbia Law School, Northwestern University - Pritzker School of Law, Widener University Delaware Law School, Duke University School of Law, New York University School of Law, Harvard Law School, Columbia Law School, Stanford Law School, University of Michigan Law School, Stanford Law School, Yale University - Law School, Georgetown University Law Center, BC Law School, University of Virginia School of Law, University of Texas at Austin - School of Law, New York University School of Law, Harvard Law School, New York University (NYU), Harvard Law School and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 181 (209,004)

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corporate politics, union politics, First Amendment, shareholder rights, corporate speech

27.

The Emperor Has No Clothes: Confronting the DC Circuit’s Usurpation of SEC Rulemaking Authority

Number of pages: 27 Posted: 08 Mar 2012
James D. Cox and Benjamin Baucom
Duke University School of Law and affiliation not provided to SSRN
Downloads 173 (217,286)
Citation 4

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28.

Revolving Elites: The Unexplored Risk of Capturing the SEC

Vanderbilt Law Research Paper No. 18-43, Duke Law School Public Law & Legal Theory Series No. 2018-54
Number of pages: 81 Posted: 06 Sep 2018
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 131 (272,499)
Citation 1

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SEC Directors, SEC Enforcement, Revolving Door, Regulatory Capture

29.

Fraud on the Market After Amgen

Duke Journal of Constitutional Law & Public Policy, Vol. 9, No. 101, 2013
Number of pages: 30 Posted: 13 Dec 2013
James D. Cox
Duke University School of Law
Downloads 111 (307,230)

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30.

Who Can't Raise Capital?: The Scylla and Charybdis of Capital Formation

Economic Research Initiatives at Duke (ERID) Working Paper
Number of pages: 16 Posted: 30 May 2014
James D. Cox
Duke University School of Law
Downloads 104 (321,328)
Citation 3

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31.

Brief of Professors at Law and Business Schools As Amicus Curiae in Support of Respondents, Leidos, Inc., fka SAIC, Inc., Petitioners, v. Indiana Public Retirement System, Indiana State Teachers’ Retirement Fund, and Indiana Public Employees’ Retirement Fund, Respondents, No. 16-581 (S. Ct. Sept. 7, 2017)

Duke Law School Public Law & Legal Theory Series No. 2017-60, U Denver Legal Studies Research Paper No. 17-29, Washington & Lee Legal Studies Paper No. 2017-20
Number of pages: 59 Posted: 12 Sep 2017 Last Revised: 21 Nov 2017
University of Denver Sturm College of Law, Duke University School of Law, University of Tennessee College of Law and Washington and Lee University - School of Law
Downloads 85 (365,227)

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Securities fraud; omission; duty to disclose; Item 303; Section 10(b); Rule 10b-5

32.

Seeking an Objective for Regulating Insider Trading Through Texas Gulf Sulphur

Duke Law School Public Law & Legal Theory Series No. 2018-47
Number of pages: 26 Posted: 18 Jun 2018
James D. Cox
Duke University School of Law
Downloads 83 (370,428)

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33.

Understanding Causation in Private Securities Lawsuits: Building on Amgen

Number of pages: 36 Posted: 04 Nov 2013 Last Revised: 22 Dec 2014
James D. Cox
Duke University School of Law
Downloads 72 (401,862)
Citation 2

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34.

'We're Cool' Statements after Omnicare: Securities Fraud Suits for Failures to Comply with the Law

Duke Law School Public Law & Legal Theory Series No. 2016-4
Number of pages: 12 Posted: 24 Nov 2015
James D. Cox
Duke University School of Law
Downloads 63 (431,146)
Citation 2

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35.

Iterative Regulation of Securities Markets after Business Roundtable: A Principles-Based Approach

Number of pages: 18 Posted: 27 Jul 2014
James D. Cox
Duke University School of Law
Downloads 45 (501,266)
Citation 1

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36.

A Revised Monitoring Model Confronts Today's Movement Toward Managerialism

Texas Law Review (2021) Vol. 99, No. 7, Vanderbilt Law Research Paper Forthcoming, Duke Law School Public Law & Legal Theory Series No. 2021-37
Number of pages: 34 Posted: 03 Sep 2021
Duke University School of Law and Vanderbilt University - Law SchoolVanderbilt University - Owen Graduate School of Management
Downloads 26 (601,566)

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agency costs, CEO, corporate governance, fiduciary principles, governance, hedge fund activism, institutional investors, managerialism, monitoring model. Shareholder power

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GAAP, PCAOB, Accounting Oversight, principles-based accounting, audit committee, Sarbanes-Oxley, SEC disclosure, accounting profession, non audit services

38.

Regulatory Duopoly in U.S. Securities Markets

Posted: 22 Feb 2000
James D. Cox
Duke University School of Law

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39.

The Social Meaning of Shareholder Suits

Brooklyn Law Review, Vol. 65, No. 1, 1999
Posted: 22 Feb 2000
James D. Cox
Duke University School of Law

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40.

Making Securities Fraud Class Actions Virtuous

Arizona Law Review, Vol. 37, No. 4 (1997), and presented in a syposium on Class Action.
Posted: 18 Jul 1997
James D. Cox
Duke University School of Law

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41.

The Fundamentals of an Electronically-Based Federal Securities Act

Washington University Law Quarterly Symposium on Electronic Technology and Securities Regulation, Vol. 75, No. 2 (1997).
Posted: 27 Jun 1997
James D. Cox
Duke University School of Law

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