Calvert Law

BOOKS AND TEACHING MATERIALS

• Blue Sky Law, Volumes 12, 12A and 12B of the Thomson/West Group Securities Series, last updated 6/30/2009.  First released in 1984. Considered the definitive text on state securities laws.  This treatise is also available in electronic form on WestLaw.
• Securities Arbitration Desk Reference, 2008-2009 Edition, Securities Law Handbook Series, co-authored with Seth E. Lipner, Thomson West.  First released in 2006.
• Cases and Materials on Federal Securities Regulation (11th ed. 1999).  University of Oklahoma Continuing Legal Education, 400+ pages, loose-leaf.
• Cases and Materials on State Securities (Blue Sky) Regulation (9th ed. 1999).  University of Oklahoma Continuing Legal Education, 400+ pages, loose-leaf.
• Cases and Materials On Agency and Partnerships (4th ed. 1999). University of Oklahoma Continuing Legal Education, 300+ pages, loose-leaf.
• Materials on Agency and Partnerships and Corporations (1997 Ed.). Oklahoma Bar Review, 125+ pages.  Materials updated annually since 1975. 
• The Federal Medical Care Recovery Act, 400+ pages, unpublished master's thesis submitted to the University of Virginia (1973).

LAW REVIEW ARTICLES

• "Viatical Settlements As Securities: Murky Area of Securities Law Begins to Clear, Part I,” 1998 Ohio Sec. Bul. __  (No.2) (1998).
• "Viatical Settlements As Securities: Murky Area of Securities Law Begins to Clear, Part II,” 1998 Ohio Sec. Bul. __ (No.3) (1998).
• "The Anatomy of An Investment Contract,” 1997 Enforcement Law Reporter (NASAA) 147.
• "Extended Liability in Administrative and Civil Enforcement Actions,” 1994 Enforcement Law Reporter (NASAA) 1.
• "Cellular Telephone and Wireless Cable Interests As Investment Contracts,” 1993 Enforcement Law Reporter (NASAA) 86.
• "Developments and Issues in Civil Liability Under the Uniform Securities Act,” 62 U. Cin. L. Rev. 439 (1993).
• "A Guide to the Investigative and Enforcement Provisions of the Uniform Securities Act,” 37 Wash. & Lee L. Rev. 739 (1980), reprinted in the National Law Review Reporter.
• "State Securities Regulation - An Overview,” 32 Okla. L. Rev. 541 (Summer 1979), reprinted in 1980 Securities Law Review 745.
• "The Conflict of Law Provisions of the Uniform Securities Act or When Does A Transaction ‘Take Place In This State',” Part I, 32 Okla. L. Rev. 781 (1978).
• "Commodity Options - Revisited,” 25 Drake L. Rev. 75 (1976), reprinted in 1977 Securities Law Review 499.
• "A Lawyer's Guide to the Intra-State Exemption and Rule 147,” 24 Drake L. Rev. 471 (1975).
• "Exemptions Under the Oklahoma Securities Act, Part I:  The Governmental and Financial Institutional Exemptions,” 28 Okla. L. Rev. 235 (1975).
• "Introduction to Student Symposium, Definition of a Security,” St. Mary Law. J. 95 (1974).
• "The Naked Commodity Option Contract as a Security,” 15 William and Mary L. Rev. 211 (1973).
• "Don't Forget the Securities Acts!,” 26 Okla. L. Rev. 160 (1973).
• "The Federal Medical Care Recovery Act:  A Case Study in the Creation of Federal Common Law,” 18 Villanova L. Rev. 353 (1973).
• "Partnerships, Limited Partnerships, and Joint Venture Interests as Securities,” 37 Mo. L. Rev. 581 (1972).
• "Control of the Spin-off Device Under the Securities Act of 1933,” 25 Okla. L. Rev. 217 (1972).
• "An Attempt to Return ‘Investment Contracts' to the Mainstream of Securities Regulation,” 24 Okla. L. Rev. 135 (1971).
• "Administration of the Federal Medical Care Recovery Act,” 46 Notre Dame Law, 253 (1971).
• "Ex Parte Merryman: The Showdown Between Two Great Antagonists: Lincoln and Taney,” 14 S. Dak. L. Rev. 207 (1969).
• "Annual Surveys of South Dakota Law in Contracts, Agency, and Corporations,” 13 S. Dak. L. Rev. at 422 (1968).
• "Government Recovery Beyond the Federal Medical Recovery Act,” 14 S.D. L. Rev. 20 (1967).
• "Annual Surveys of South Dakota Law in Contracts, Agency, and Corporations,” 12 S. Dak. L. Rev. at 269 (1967).     
• Student Comment, "Contracts: Promissory Estoppel: Employment Contracts for Indefinite Duration,” 27 Mo. L. Rev. 611 (1962).

PUBLICATIONS AND PRESENTATIONS

• CLE Presentation, “The NASAA 2008 Annual Survey of State Securities Law,” 2009  Winter Enforcement Conference (January 9-11, 2009)
• CLE Presentation, “U.S. Securities Law Update,” 2008 NASAA Attorney/Investigator Training Seminar (December 12-13, 2008)
• CLE Presentation, “Expert Witnesses,” 2008 NASAA Attorney/Investigator Training Seminar (December 12-13, 2008)
• CLE Presentation, “Recent Developments in the Legislatures and the Courts,” 2008 Winter Enforcement Conference (January 4-5, 2008)
• CLE Presentation, “Update on the Law,” NASAA Attorney/Investigator Training Seminar (December 1, 2007)
• “Pleading Causes of Action,” PIABA CLE Program 9th Annual Securities Law Seminar (October 17, 2007)
• “Non-Element and Spurious Defenses,” PIABA CLE Program 9th Annual Securities Law Seminar (October 17, 2007)
• “Statute of Limitations and the FINRA Proposed Motion to Dismiss Rule,” PIABA CLE Program 9th Annual Securities Law Seminar (October 17, 2007)
• CLE Presentation, “2006 Update on Developments in Blue Sky Law,” NASAA Attorney/Investigator Training Seminar (December 1, 2006)
• “The Buckeye Case and Its Impact on Arbitration,” PIABA CLE Program “8th Annual Securities Law Seminar (October 25, 2006)
• “Fixed, Variable, and Equity Indexed Annuities as Securities,” PIABA CLE Program “8th Annual Securities Law Seminar” (October 25, 2006)
• “Preserving Your Assets,” Academy of Dispensing Audiologists 2006 Convention (October 13, 2006)
• “Business Structure: Forming, Operating and Disposing of an Audiology Practice,” Academy of Dispensing Audiologists 2006 Convention (October 12, 2006)
• “Different Theories of Recovery and the Amount Thereof,” PIABA CLE Program “7th Annual Securities Law Seminar” (September 28, 2005)
• “A Revised Hedge Fund Primer,” PIABA CLE Program “7th Annual Securities Law Seminar” (September 28, 2005)
• “Ways to Avoid Arbitration,” PIABA CLE Program “7th Annual Securities Law Seminar” (September 28, 2005)
• “Primer on Liability for the Actions of an Investment Adviser,” PIABA CLE “7th Annual Securities Law Seminar” (September 28, 2005)
• CLE Presentation, “Annual Review of Significant Securities Cases,” NASAA Winter Enforcement Conference (January 24, 2005)
• CLE Presentation, “Securities Law and Case Updates,” NASAA Attorney/Investigator Training Seminar (December 3, 2004)
• “Broker-Dealer Liability for the Actions of an Investment Adviser,” PIABA CLE Program “6th Annual Securities Law Seminar” (October 20, 2004)
• “An Overview of the Uniform Securities Act (2002),” PIABA CLE Program “6th Annual Securities Law Seminar” (October 20, 2004)
• “National/Legal Developments/Hedge Funds,” Arizona State Bar Convention, “Current Topics in Securities Litigation/Regulation Practice” (June 10, 2004)
• “Hedge Funds - How They Operate and Are They Securities?,” PIABA CLE Program “5th Annual Securities Law Seminar” (October 22, 2003)
• “Investment Analyst Cases-Legal Theories of Recovery,” PIABA CLE Program “5th Annual Securities Law Seminar” (October 22, 2003)
• “An Overview of Investment Analyst Cases,” PIABA CLE Program “5th Annual Securities Law Seminar” (October 22, 2003)
• PIABA Analyst Meeting (June 28, 2003)
• Mass Torts Made Perfect, Securities, Drug & Environmental Litigation (June 19-20, 2003)
• CLE Presentation, “State Securities Law for Examiners,” NASAA 2003 Corporate Finance Training Seminar (March 21-22, 2003)
• CLE Presentation, “New Developments in the Legislatures and the Courts,” NASAA 2003 Winter Enforcement Conference (January 4-7, 2003)
• “From the Professor,” “A Primer on the Liability and Damages Provisions of Securities Acts - Part II, Rule 10b(5) and the Uniform Securities Act,” Vol. 9, No. 4 PIABA Bar Journal 3-23 (Winter 2002)
• “Law Practice Update,” PIABA 11th Annual Meeting (October 3, 2002)
•  “Different Theories of Recovery and the Amount Thereof,” PIABA CLE Program “4th Annual Securities Law Seminar” (October 2, 2002)
• “Recent Developments in Clearing Broker Liability,” PIABA CLE Program “4th Annual Securities Law Seminar” (October 2, 2002)
• “Confirmation & Vacatur Practice,” PIABA CLE Program “4th Annual Securities Law Seminar” (October 2, 2002)
• “From the Professor,” “A Primer on the Liability and Damages Provisions of Securities Acts - Part I, the Securities Act of 1933,” Vol. 9, No. 3 PIABA Bar Journal 60-78 (Fall 2002)
• CLE Presentation, “Securities Scams,” NASAA 2002 Attorney/Investigator Training Seminar (August 16-17, 2002)
• “From the Professor,” “An Introduction to State Securities Law,” Vol. 9, No. 2 PIABA Bar Journal 2-12 (Summer 2002)
• CLE Presentation, “Securities Enforcement Update,” NASAA 2001 Attorney Investigator Training Seminar (November 2001)
• “Update on Securities and Arbitration Cases,” PIABA 10th Annual Meeting (October 18, 2001)
• “Viatical Settlements As Securities,” PIABA CLE Program “Securities Law Update: A Day With The Professors” (October 17, 2001)
• “Theories of Liability in Selling Away Cases,” PIABA CLE Program “Securities Law Update: A Day With The Professors” (October 17, 2001)
• “Theories of Clearing Broker Liability,” PIABA CLE Program “Securities Law Update: A Day With The Professors” (October 17, 2001)
• Faculty Presenter, “Viaticals as Securities,” Viatical Academy 2000 Program “New Directions for Viatical/Life Settlements,” Newport Beach, California (October 27-29, 2000)
• “Calculation of Damages,” PIABA CLE Program “Securities 201" (October 10,     2000)
• “Broker-dealer Liability Under Common Law,” PIABA CLE Program “Securities 201" (October 10, 2000)
• Panelist, “Predictions and Recommendations,” Practising Law Institute Program “Securities Arbitration 2000, Today’s Trends, Predictions for Tomorrow,” New York City, NY (August 17, 2000)
• “From the Professor,” “Return to Basics III: Duty to Investigate; Contributory and Comparative Negligence; And In Pari Delicto,” (December 1999)
• CLE Paper, “Securities Regulation: An Initial Overview of the Securities Act and What is a Security?,” NASAA Litigation Training Seminar (November 1999)
• “What Is A Security?,” PIABA CLE Program “Securities 101" (October 20, 1999)
• “In This State,” PIABA CLE Program “Securities 101" (October 20, 1999)
• “Civil Liability Under State Securities Laws,” PIABA CLE Program “Securities 101" (October 20, 1999) 
• “From the Professor,” “Duty to Mitigate Damages In Securities Actions,” Vol. 6, No. 3 PIABA Quarterly 8-12 (September 1999)
• Annual Regional Enforcement Report, ABA Committee on Blue Sky Law, ABA Subcommittee on Enforcement (August 1999)
• “From the Professor,” “Clearing Broker Liability,” Vol. 6, No. 1 PIABA Quarterly  2-7 (March 1999)
• “From the Professor,” “Thoughts on Weston Securities Corp. v. Aykanian,” Vol. 5, No. 4 PIABA Quarterly 4-8 (December 1998) 
• CLE Presentation, “New Developments in State Securities Law,” NASAA Litigation Training Seminar (November 1998)
• CLE Presentation, “Elements of Fraud,” NASAA Litigation Training Seminar (November 1998)
• Course Materials, “Recent Developments In Securities Arbitration,” PIABA 7th Annual Meeting 1-2-1-14 (October 22-24, 1998)
• CLE Course Materials, “Dispositive Motions,” PIABA 7th Annual Meeting 10-1-10-37 (October 22-24, 1998) (with Scot Bernstein)  
• “From the Professor,” “Confirmation and Vacatur, Part I, Post-Award Interest,” Vol 5, No. 3 PIABA Quarterly 4-11 (September 1998)   
• Annual Regional Enforcement Report, ABA Committee on Blue Sky Law, ABA Subcommittee on Enforcement (September 1998)
• CLE Presentation, NASAA Summer Enforcement Training Conference (June1998) 
• “From the Professor,” “Dispositive Motions II,” Vol. 5, No. 1 PIABA Quarterly 2-7 (March 1998)
• “From the Professor,” “Dispositive Motions,” Vol. 4, No. 4 PIABA Quarterly 3-9 (December 1997)
• CLE Course Materials, “Recent Developments in Arbitration and Civil Securities Litigation,” PIABA 6th Annual Meeting (October 1997) 
• Annual Regional Enforcement Report, ABA Committee on Blue Sky Law, ABA Subcommittee on Enforcement (October 1997)
• CLE Presentation, NASAA Summer Enforcement Training Conference (September 1997).  
• “From the Professor,” “NASD Arbitrator's Training Materials,” Vol. 4 No. 3 PIABA Quarterly 2-5 (September 1997)
• “From the Professor,” “Back to Basics, Part 2,” Vol. 4, No. 2 PIABA Quarterly 2-10 (June 1997)
• “From the Professor,” “Back To Basics,” Vol. 4, No. 1 PIABA Quarterly 2-7 (March, 1997)
• Course Materials, “Viatical Settlements as Securities,” 1997 NASAA Winter Enforcement Conference (January 1997)
• “From the Professor,” “The Changing Face of Arbitration,” Vol. 3, No. 4 PIABA Quarterly 2-6 (December 1996)
• CLE Course Materials, “Use of An Expert Witness,” NASAA Winter Enforcement Training Conference (December 1996)
• CLE Course Materials, “Recent Developments in Arbitration and Civil Securities Litigation,” PIABA 5th Annual Meeting (October 1996)  
• “From the Professor,” “Choice of Laws Clauses,” Vol. 3, No. 3 PIABA Quarterly 2-5 (September 1996)
• Annual Regional Enforcement Report, ABA Committee on Blue Sky Law, ABA Subcommittee on Enforcement (June 1996) 
• 3-day Short Course, “Business Organizations, Agency and Partnerships, Business Planning, Securities Law, and White Collar Crime,” United States Aid For Development and University of Oklahoma College of Continuing Education given in Baku, Azerbajan (former Soviet Republic) (June 1996)  
• “From the Professor,” “Potpourri,” Vol. 3 No. 2 PIABA Quarterly 4-5 (June 1996)
• CLE Course Materials, “Recent Developments in Arbitration and Civil Securities Litigation,” PIABA 4th Annual Meeting, (October 1995)
• CLE Course Materials, “Recent Developments Involving Business Under the Blue Sky,” American Bar Association, Blue Sky Section, Annual Meeting (August 1995)
• Annual Regional Enforcement Report, ABA Committee on Blue Sky Law, ABA Subcommittee on Enforcement (June 1995)
• CLE Course Materials and Four-Hour Presentation, “Recognizing and  Investigating Securities Cases,” National White Collar Crime Center and Nevada Securities Division (March 1995)
• Materials and Participation for 5 Separate Short Courses covering topics of “Business Organizations, Agency and Partnerships, Business Planning, Securities Law, and White Collar Crime,” United States Aid For Development and University of Oklahoma College of Continuing Education (1995).  Students from Poland, Bosnia, Azerbajan, Kazakstan, and Kyrgyzstan. 
• CLE Course Materials, “Recent Developments in Arbitration and Civil Securities Litigation,” PIABA 3rd Annual Meeting (October 1994)  
• CLE Course Materials, “Admission of CRD Records Into Evidence Into Evidence and Jurisdictional Problems in Connection With Computer Bulletin Boards,” NASAA and Florida Department of Banking and Finance Training Course (Spring 1994)
• Annual Regional Enforcement Report, ABA Committee on Blue Sky Law, ABA Subcommittee on Enforcement (March 1994) 
• CLE Course Materials, “Recent Developments in Arbitration and Civil Securities Litigation,” PIABA 2nd Annual Meeting (October 1993) 
• CLE Course Materials, Securities Symposium, Ohio Bar Association and Ohio Division (Fall 1993)     
• CLE Presentation, Missouri Bar Annual Meeting (September 1993)
• CLE Course Materials, “Current Issues and Cases In Arbitration,” in “Securities Arbitration,” University of Oklahoma CLE and Securities Arbitration Institute (1991)
• Short Course Materials, “Criminal Prosecutions Under State Securities Laws of Oil, Gas, and Mining Schemes,”  Leviticus Training Program (September, 1990) (four-hour presentation).  Leviticus is a federally funded organization consisting of state agencies with police powers which investigate and prosecute criminal conduct in the area of oil, gas, and mining.
• CLE Course Materials, “Present Trends and Concerns in Blue Sky Law,” University of Montana Continuing Legal Education, Securities Regulation Symposium (1990)
• CLE Course Materials, “Current Issues and Cases In Arbitration,” in “Securities Arbitration,”  Securities Arbitration Institute (1990)
• CLE Course Materials, “Securities Regulation: An Initial Overview or Securities 101,” North American Securities Administrators Association Analyst Education Seminar (1990)
• CLE Course Materials, “Current Issues and Cases In Arbitration,” in “Securities Arbitration,” Securities Arbitration Institute (1989)
• CLE Course Materials, “Securities Regulation: An Initial Overview or Securities 101,” North American Securities Administrators Association Analyst Education Seminar (1989)
• Class Presentation, Leviticus Training Program (September, 1988). 
• CLE Course Materials, “Are Gold Mine Scams Securities Or Commodities,” North American Securities Administrators Association, Project Goldbrick Seminar (1988).
• CLE Course Materials, “Securities Regulation: An Initial Overview or Securities 101,” North American Securities Administrators Association Analyst Education Seminar (1988).
• CLE Course Materials, “The Application of Federal Securities Laws,” in “Forming and Representing Business Entities,” University of Oklahoma CLE (1988).
• CLE Course Materials, “Overview of Litigation and Arbitration in Federal and State Securities Cases,” in “Stockbroker Litigation and Arbitration Regional Institute,” University of Oklahoma CLE (1988).
• CLE Course Materials, “Overview of Regulation D,” in “Securities Law: A Guide to Amended Regulation D,” University of Oklahoma CLE (1988).
• CLE Course Materials, “Arbitration in Securities and RICO cases--It's History and Current Legal Standing,” in “Stockbroker Litigation and Arbitration,” University of Oklahoma CLE (1988).
• CLE Course Materials, “Regulation D as Revised, 1988,” in “Securities Law: A Guide to Amended Regulation D,” University of Oklahoma CLE (1988). 
• CLE Course Materials, “Rights and Liabilities of Directors, Officers, and Shareholders,” in “Corporations from A to Z,” University of Oklahoma CLE (1987)
• CLE Course Materials, “Fallout For Old Corporations: What Amendments Cannot Be Made, Unanswered Questions, The Issue of Vested Rights,” in “Corporations From A to Z,” University of Oklahoma CLE (1987).
• CLE Course Materials, “Overview of Litigation and Arbitration in Federal and State Securities and Commodities Cases,” in “After the Crash: Defending or Suing the Stockbroker,” University of Oklahoma CLE (1987).
• CLE Short Course, “Securities Law Primer: Part I,” University of Oklahoma CLE (1986).
• CLE Short Course, “Securities Law Primer: Part II,” University of Oklahoma CLE (1986).
• CLE Materials, “Exemptions Under the Hawaii Securities Act,” North American Securities Administrators Association and Hawaii Securities Commission Joint Enforcement Training Program (1986).
• CLE Materials, “The Application of Securities Laws to Horse Syndications: Jurisdiction, Exemption and Integration,” University of Oklahoma CLE (1984).
• CLE Materials, “State Regulations,” in Conference on Securities Regulation, University of Texas CLE (1985).  
• CLE Materials, “Securities Law and the U.C.C. Considerations,” in “Corporations-How To Start, Advise, and Dissolve,” University of Oklahoma CLE (1985). 
• CLE Materials, “Developments in State and Federal Courts, in “New Developments in Securities and Corporate Law,” University of Oklahoma CLE (1985).
• CLE Materials, “The Application of Securities Laws, Definitions of `Security' and `Offer and Sale', Jurisdiction, and Integration Problems,” in “Securities Law For the General Practitioner and Litigation Lawyer,” University of Oklahoma CLE (1985).
• CLE Materials, “Federal and State Securities Regulation of Horses,” in “Horse Law: From Auctions to Syndications,” University of Oklahoma CLE (1984).
• CLE Materials, “An Overview of Regulation D,” in “Regulation D in 1984,” University of Oklahoma CLE (1984). 
• CLE Materials, “The Proposed Uniform Limited Partnership Act of Oklahoma,” in “Partnerships II: Using Limited Partnerships as Tax Shelters For Real Estate and Oil and Gas Activities,” University of Oklahoma CLE (1983).
• CLE Materials, “Statutory Provisions,” in “Partnerships I: Overview of Tax, Securities, and Drafting Issues of General and Limited Partnerships,” University of Oklahoma CLE (1983).  
• CLE Materials, “Basic Securities Issues in Limited Partnerships,” in “Partnerships I: Overview of Tax, Securities, and Drafting Issues of General and Limited Partnerships,” University of Oklahoma CLE (1983).  
• CLE Presentation, “ABC's of Corporations,” University of Oklahoma CLE (1983).
• CLE Materials, “The Oil Field Promoter - The ABC's of a Plaintiff's Securities Suit Against the Promoter,” University of Oklahoma CLE (1983).
• CLE Materials, “Securities Primer For the General Practice Lawyer,” University of Oklahoma CLE (1983). 
• CLE Materials, “Review of Private and Limited Offering Exemptions,” in “SEC Regulation D Limited Offering Exemption,” University of Oklahoma CLE (1982).
• CLE Presentation, “Investigation and Prosecution of the Boiler Room,” NASAA Fraud Enforcement Seminar (1982). 
• CLE Materials, “Integration-History and Present Posture” in “Securities Integration,” University of Oklahoma CLE (1982).
• Article, “The Power of State Securities Agencies to Establish Ethical Standard for Practice Before the Agency,” Blue Sky News (NASAA) (Spring 1981).
• CLE Materials, “State Securities Investigative and Enforcement Procedures-An Overview,” NASAA 4th Annual Regional Seminar (1979).
• CLE Materials, “State Securities Investigative and Enforcement Procedures Including Administrative and Civil Relief Available,” NASAA 4th Annual Regional Seminar (1979).
• CLE Materials, “The Expanding Definition of a Security,” in “Securities and Franchises,” University of South Dakota and South Dakota State Bar (1979).
• CLE Materials, “State Investigative and Enforcement Procedures-An Overview,” NASAA 3d Annual Regional Seminar on Securities Fraud (1978). 
• CLE Materials, “State Securities Regulation-An Overview,” NASAA 3d Annual Regional Seminar on Securities Fraud (1978). 
• White Collar Crime Training Manual, “Expanding Enforcement Options: The Securities Fraud Approach,” Battelle Inst.-LEAA (1978).
• CLE Materials, “State Securities Regulation,” NASAA 2d Annual Regional Seminar on Securities Fraud (1977).
• CLE Materials, “State Securities Regulation-An Overview,” NASAA 1st Annual Regional Seminar on Securities Fraud (1976).
• CLE Materials, “The Intrastate Exemption and Regulation A,” in “Regulation of Securities in Oklahoma,” University of Oklahoma CLE (1974). 
• CLE Materials, “What is a Security?,” in “Regulation of Securities in Oklahoma,” University of Oklahoma CLE (1974). 
• Editor and Author of first two chapters, “Regulation of Securities in Oklahoma,” University of Oklahoma CLE (1974).
• Book Review, “Warren The Man, The Court, and The Era,” 13 S. Dak. L. Rev. 247 (1968).
• Article, “The Dawn of a New Era in Freedom of Government Information?,” 8 Grassroots Editor 15 (Sept. 1967)
• CLE Materials, “Introduction and Model Business Corporation Act, Sections 1-15,” in “Corporations,” University of South Dakota CLE (1967).
• Article, “The News Photographer and the Law,” 5 Grassroots Editor 3 (April 1964).

SIGNIFICANT BRIEFS

• PIABA Amicus Curiae Brief, The United States Securities and Exchange Commission v. ETS Payphones, Inc. and Charles E. Edwards, Supreme Court of the United States (2003)
• Brief, Weinstein v. Josephthal, Lyon & Ross, Inc., U.S. Court of Appeals, 11th Circuit (1999).
• Brief, Slinkard v. Ameritas Inv. Corp., United States Supreme Court (Brief in opposition to grant of Certiorari) (1995). 
• Brief, Slinkard v. Ameritas Inv. Corp., Oklahoma Supreme Court (1994).
  Brief, Slinkard v. Ameritas Inv. Corp., Oklahoma District Court (1994). 
  NASAA Amicus Curiae Brief, American Microtel, Inc. v. State, Nevada Supreme Court (1994).    
• NASAA Amicus Curiae Brief,  Dean Witter Reynolds Inc. v. M.C. McCoy, U.S. Court of Appeals, 6th Circuit (1994), reprinted in NASAA Reports (CCH) 15,007.
• NASAA Amicus Curiae Brief,  Spectrum Resources Group, Inc. v. State ex. rel. Secretary of State, Securities Division, Indiana Superior Court (1994).
• NASAA Amicus Curiae Brief, State v. Fullerton, Nevada Supreme Court (1993).
• NASAA Amicus Curiae Brief, In re American Microtel, Indiana Securities Division (1993).
• NASAA Amicus Curiae Brief, Olde Discount Corp. v. Tupman, United States Supreme Court (Brief in support of grant of Certiorari) (1993), reprinted in NASAA Reports (CCH) 15,003.
• NASAA Amicus Curiae Brief, In re Spectrum, Ltd., Indiana Securities Division (1993), reprinted in NASAA Reports (CCH) 15,001.
• NASAA Amicus Curiae Brief,  Boettcher & Co. v. Munson, Colorado Supreme Court (1992).
• NASAA Amicus Curiae Brief,  State v. Keating, California Superior Court (1991), reprinted in NASAA Reports (CCH) 9613.
• NASAA Amicus Curiae Brief, Probst v. State, Oklahoma Court of Criminal Appeals (1991).
• NASAA Amicus Curiae Brief, Aganda v. Montana State Auditor's Office, Securities Division, Montana District Court, 1st District (1991). 
• NASAA Amicus Curiae Brief, State v. Black, Arizona Supreme Court (1991), reprinted in NASAA Reports (CCH) 9614.
• NASAA Amicus Curiae Brief, Norden v. Friedman, et al., Missouri Supreme Court (1991).
• Brief, Pepsico, Inc., et al. v. Uselton, et al., United States Supreme Court (Brief in opposition of grant of Certiorari) (1991).
• Brief, Uselton v. Commercial Lovelace Motor Freight, United States Supreme Court  (1991).
• Brief, Uselton v. Commercial Lovelace Motor Freight, U.S. Court of Appeals, 10th Circuit (1990).
• Oklahoma Securities Commission Amicus Curiae Brief, Hall v. Edge Energies. Inc., Oklahoma Court of Appeals (1990).
• NASAA Amicus Curiae Brief, Memphis Investment Banking Association v. MacReynolds, Tennessee Chancery Court (1990), reprinted in NASAA Reports (CCH) 9611.
• Brief, Cook v. Westinghouse Credit Corp., Oklahoma Court of Appeal (1990).   
• NASAA Amicus Curiae Brief, State v. Saas, Washington Supreme Court (1990), reprinted in NASAA Reports (CCH) 9612.
• NASAA Amicus Curiae Brief, Securities Industry Association v. Lewis, U.S. District Court, Southern District of Florida (1990), reprinted in NASAA Reports (CCH) 9607.  
• Brief, Federal Deposit Insurance Corp. v. Bell, U.S. Court of Appeals, Tenth Circuit (1990).
• NASAA Amicus Curiae Brief, Securities Industry Association v. Connolly, United States Supreme Court (Brief in support of grant of Certiorari) (1989).
• NASAA Amicus Curiae Brief, Securities Industry Association v. Connolly, U.S. Court of Appeals, First Circuit (1989), reprinted in NASAA Reports (CCH) 9604. 
• NASAA Amicus Curiae Brief, Connolly and Guthary v. Securities Industry Association, United States Supreme Court (1989).
• NASAA Amicus Curiae Brief, Feigin v. Zinn, Colorado Court of Appeals (1989), reprinted in NASAA Reports (CCH) 9609.
• NASAA Amicus Curiae Brief, Reves v. Arthur Young and Co., United States Supreme Court (1989), reprinted in NASAA Reports (CCH) 9606.
• NASAA Amicus Curiae Brief, Caucus Distributors v. State, Alaska Supreme Court (1989), reprinted in NASAA Reports (CCH) 9610. 
• Brief, Cook v. Westinghouse Credit Corp., Oklahoma Supreme Court (1988).
• NASAA Amicus Curiae Brief, Moreland v. Department of Corporations, California District Court of Appeal (1987). 
• NASAA Amicus Curiae Brief, S.W. Devanney & Co., Inc. v. Griffin, Colorado Court of Appeals (1986), reprinted in NASAA Reports (CCH) 9603. 
• NASAA Amicus Curiae Brief, Holderman and Cox v. Fleet Aerospace Corporation, United States Supreme Court (1986). 
• Brief, Valentine v. Blubough, Oklahoma District Court (1986). 
• Brief, Mayfield v. H.B. Oil & Gas, Inc., Oklahoma Supreme Court (1985).
• Brief, Gale v. Great Southwestern Exploration Co., U.S. District Court, Northern District of Oklahoma (1984).
• Brief, Ratliff v. Jim Edelman Production Co., U.S. District Court, Western District of Oklahoma (1984).
• Brief, Trinity Broadcasting v. Eller, Oklahoma Supreme Court (1984).
• NASAA Amicus Curiae Brief, North Star Int'l v. Arizona Corporation Commission, U.S. Court of Appeals, Ninth Circuit (1983).
• NASAA Amicus Curiae Brief, Kroog v. Mait, U.S. Court of Appeals, Seventh Circuit (1982).
• NASAA Amicus Curiae Brief, People v. Carter, Illinois Supreme Court (1982).
• NASAA Amicus Curiae Brief, Payable Accounting Corp. v. McKinley, Utah Supreme Court (1981).
• NASAA Amicus Curiae Brief, Edgar v. Mite Corp., United States Supreme Court (1981).
• NASAA Amicus Curiae Brief, Board of Trade of the City of Chicago v. Securities and Exchange Commission, U.S. Court of Appeals, Seventh Circuit (1981).
• NASAA Amicus Curiae Brief, Edgar v. Mite Corporation and Mite Holdings, Inc., United States Supreme Court (1981).
• NASAA Amicus Curiae Brief, State v. Forbes and Bradstreet, Inc., Montana District Court (1980).
• Oklahoma Securities Commission Brief, State ex rel. Day v. Southwestern Mineral Energy, Oklahoma Supreme Court (1980).
• Oklahoma Securities Commission Brief,  Marley v. Lentz & Assoc., Oklahoma Supreme Court (1979).
• Oklahoma Securities Commission Brief, In re Merrill Lynch Pierce, Fenner, and Smith, Oklahoma Securities Commission (1979).
• Oklahoma Securities Commission Brief, State ex rel. Day v. Petco Oil & Gas, Inc., Oklahoma Supreme Court (1976).

MEMORANDA

• Expert Witness Memorandum, Boyd v. Drinker, Biddle & Reath, Pennsylvania Court of Common Pleas (1998).
• State of California Expert Witness Memorandum, People v. CD Services, Inc., California Superior Court (1998).
• State of Alaska Expert Witness Memorandum, Government Duty to Investigate Before Granting Securities Exemption (1997).
• NASAA Expert Witness Memorandum, State v. Beard, Idaho District Court (1997).
• NASAA Expert Witness Memorandum,  In re Juran & Moody, Inc., North Dakota Securities Commission (1997).
• State of Tennessee Expert Witness Memorandum, Sizemore v. Lloyd's of London, Tennessee Chancery Court (1996).
• Expert Witness Memorandum, Washington v. Mining Properties, Inc., Montana District Court (1996).
• Expert Witness Memorandum, Bullough v. Merging Capital, Inc., U.S. District Court, District of Nevada (1996).
• NASAA Expert Witness Memorandum, In re Eurogold, North Dakota Securities Commission (1995).
• NASAA Memorandum, Use and Legal Provisions of the NASAA "CRD" system (1994).
• NASAA Expert Witness Memorandum, State v. Gertken, North Dakota Securities Commission (1993).
• Expert Witness Memorandum, Stephens, Inc. v. Royal Maccabee Life Ins. Co., Arkansas Chancery Court (1993).
• NASAA Expert Witness Memorandum, Comstock v. Evans, Alabama Circuit Court (1991).
• Expert Witness Memorandum, Reagan v. Adams, Texas District Court (1991).
• Expert Witness Memorandum, Dyer v. Prudential Bache, American Arbitration Association (1991).
• NASAA Memorandum, In re Monex, New Hampshire Securities Division (1991).
• NASAA Memorandum, State v. Keating, California Superior Court (1990).
• NASAA Memorandum, In re Double Jeopardy, Illinois Circuit Court (1990).
• NASAA Memorandum, In re Take-Over of Cummins Diesel, Indiana Securities Commission (1990).
• NASAA Memorandum, In re Cartwright, Montana Securities Division (1990).
• NASAA Expert Witness Memorandum, Pardo v. Pomeroy, Federal District Court, Southern District of Texas (1990). 
• Expert Witness Memorandum, Ahrberg v. Mid-America Racing Stables Inc., U.S. District Court, Western District of Oklahoma (1989).
• NASAA Expert Witness Memorandum, State v. Dill, New Mexico Securities Commission (1988).
• NASAA Expert Witness Memorandum, Adams v. Landers, Colorado District Court (1986).
• Expert Witness Memorandum, Petroleum Acreage Corp.(1986).
• Expert Witness Memorandum, TXO Production Corp. v. Bullock Resources, Inc., U.S. District court, Southern District of Texas (1985).
• Expert Witness Memorandum, Westlake v. Abrahams, U.S. District Court, Northern District of Georgia (1982).
• NASAA Memorandum, Agent Examination Requirements (1981).

OPINIONS

• NASAA Opinion, In re Foreign Banks, Iowa Securities Division (1990).
• Draft Opinion, Cook v. Pepco, [1987-1988 Transfer Binder] Blue Sky L. Rep. (CCH) 72,694 (Okla. Dist. Ct. 1987).
• Draft Opinion, In re Overthrust Mineral Corp., [1982-1984 Transfer Binder] Blue Sky L. Rep. (CCH) 71,849 (Wyo Sec. State. 1983).
  Draft Opinion, In re Goldstein Samuelson, [1971-1978 Transfer Binder] Blue Sky L. Rep. (CCH) 71,095 (Okla. Sec. Admin. 1973).