In January, Barbara published The SEC and the Foreign Corrupt Practices Act: Fighting Global Corruption is Not Part of the SEC’s Mission, 73 Ohio St. L. J. 1093 (2012), and Investor Protection Meets the Federal Arbitration Act, 1 Stanford J. Complex Litigation 1 (2012) (with Jill I. Gross).

Just after publication of the above-cited Stanford article, a Financial Industry Regulatory Authority (FINRA) hearing panel decided the disciplinary proceeding involving Charles Schwab’s class action waiver that was discussed in Barbara and Prof. Gross’s article, holding that the FINRA rule prohibiting class action waivers is unenforceable because of the Federal Arbitration Act.  Barbara and Prof. Gross discuss the FINRA decision and why it is wrong in a column that will be published in mid-March at the Columbia Law School Blue Sky Blog.

In February, Barbara, who is often asked to comment on newsworthy cases by national news and media outlets, was quoted in a Law360 article, Schwab Wins One for the Broker, Threatening Class Actions, about the Schwab disciplinary

On February 8, Barbara presented a paper on FINRA Sanctions: Theory and Practice at a symposium at a Brooklyn Law School Symposium: Growth and Importance of Compliance in Financial Firms: Meaning and Implications.  The Symposium was reported on by Reuters in Compliance is today’s slogan for upcoming law graduates, conference speakers say.