FacultyFaculty/Author Profile
Francis J. Facciolo

Francis J. Facciolo

St John's University Law School
Assistant Director, Securities Arbitration Clinic, Professor of Legal Writing
Jamaica, NY, USA


Professor Facciolo practiced for ten years as a transactional corporate attorney in several major New York City law firms before becoming a law professor.  Professor Facciolo is the Assistant Director of the Securities Arbitration Clinic at the St. John's University School of Law and teaches Corporate Finance and Regulation of Mutual Funds. As an adjunct professor, he also teaches Sales and Payment Systems, Securities Regulation and Federal Regulation of Mutual Funds at New York Law School. Finally, he developed and taught a course for several years on the Regulation of Securities Markets and Broker-dealers at Hofstra School of Law. He received his J.D. from Columbia Law School and is a former clerk for Justice Sidney M. Schreiber of the New Jersey Supreme Court.

Among his publications in the area of investment management are the following

Do I Have a Bridge for You: Fiduciary Duties and Financial Advice, 17 University of Pennsylvania Journal of Business Law 101 (2014).

Introduction to Symposium: Revolution in the Regulation of Financial Advice: The U.S., the U.K. and Australia, 87 St. John’s Law Review 297 (2013).

A Broker’s Duty of Best Execution in the Nineteenth and Early Twentieth Centuries, 26 Pace Law Review 155 (2005).

When Deference Becomes Abdication: Immunizing Widespread Broker-Dealer Practices from Judicial Review through the Possibility of SEC Oversight, 73 Mississippi Law Journal 1 (2003).

Co-author of Avoiding the Inevitable:  The Continuing Viability of State Law Claims in the Face of Primary Jurisdiction and Preemption Challenges under the Securities Exchange Act of 1934, 1995 Columbia Business Law Review 525. Cited in "Worth Reading" column of The National Law Journal.

Exculpatory Hedge Clauses in Investment Advisory Contracts: Developments since Heitmen Capital, The Investment Lawyer, February 2014.

Sub-Adviser Fee Litigation: Will Section 36(b) Acquire Some Teeth?, New York Law Journal, March 17, 2015, page 4.

New Wave of Cases Involving Investment Adviser Fees, New York Law Journal, October 4, 2013, page 4.

The Revolution in Investment Adviser Regulation, The Investment Lawyer, October 2011.

When Should a Broker-Dealer Be Treated as an Investment Adviser?, New York Law Journal, August 1, 2011, page 4.

Co-author of Order Flow Cases:  Jurisdiction, Preemption and Securities Laws, New York Law Journal, May 9, 1995, page 1.

Co-author of Double Jeopardy Issues in the Financial Sector, New York Law Journal, August 3, 1994, page 1; reprinted in 20 RICO Law Reporter 1139 (1994).

Francis J. Facciolo is associated with the following items:
Web Segment  Web Segment The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting - Basics of Mutual Funds and Other Registered Investment Companies 2017, Friday, April 21, 2017
MP3 Audio  MP3 Audio The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting - The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting, Friday, April 21, 2017
Transcripts  Transcripts The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting - The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting, Friday, April 21, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting - The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting, Friday, April 21, 2017
On-Demand Web Programs  On-Demand Web Programs Basics of Mutual Funds and Other Registered Investment Companies 2017, Monday, May 01, 2017, New York, NY
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