James K. Goldfarb
Practice Areas
  • J.D. and LL.M., International and Comparative Law, Duke University School of Law, 1999
  • M.Sc., International Relations, London School of Economics, 1997
  • A.B., History, magna cum laude, Phi Beta Kappa, Washington University, 1992
  • New York
  • U.S. Court of Appeals, Second Circuit
  • U.S. District Court, Eastern District of New York
  • U.S. District Court, Southern District of New York
  • U.S. Supreme Court

James K. Goldfarb

C: (917) 697-7715
1185 Avenue of the Americas
21st Floor
New York, NY 10036
T: (212) 880-3961
F: (212) 880-3998


  • FIRREA Threatens to Add to Government's Financial Crisis Arsenal
    (Co-authored with James Dombach)
    American Bar Association | (01/03/2014)

    The federal government has been heavily criticized for not pursuing legal claims against financial institutions and their senior executives in connection with the financial crisis.

  • Clear Path to Pursuing Common Law Securities Claims Not 'Assured'
    (Co-authored with Hannah Berkowitz)
    New York Law Journal (Subscription Required) | (01/13/2012)

    Despite a recent Court of Appeals ruling, significant substantive and procedural protections embedded in New York and federal law will continue to pose formidable challenges to investors and other securities market participants seeking common law relief for securities-related wrongs.

  • Morrison’s Far-Reaching Consequences
    Securities Litigation Journal | (December, 2011)

    Morrison has, and will continue to have, a significant impact on the reach of securities and non-securities law. In this article, we examine how the lower courts have applied Morrison and identify some of the issues raised in Morrison but not addressed by the decision itself.

  • Could the next wave of the credit crisis flood courthouses with commercial real estate securities lawsuits? The Wall Street Journal recently reported nearly unprecedented delinquency rates for the $700 billion of securitized loans backed by commercial real property assets and warned of alarming default and loss rates, particularly given the current climate for refinancing commercial mortgages. Standard & Poor's has announced that it intends to place on negative ratings watch an array of structured financial products backed by commercial real estate assets. Similar developments in the residential real estate market released a flood of litigation a little more than a year ago. Even if the commercial real estate market manages to keep its head above water, litigation is likely.

  • In Central Bank of Denver N.A. v. First Interstate Bank of Denver N.A., the Supreme Court held that Section 10(b) of the Securities Exchange Act and Rule 10b-5 provide a private right of action for securities fraud against primary violators, but not against those who aid and abet primary violators. The lower courts were left to sort out actionable primary conduct from merely aiding and abetting.

  • Ruling on a Trio of Securities Fraud Cases
    The National Law Journal | (05/16/2005)

    Because the 2d U.S. Circuit Court of Appeals includes the financial center of New York, it hears many important securities law cases. In the past year, the 2d Circuit decided three issues of first impression in federal securities fraud law.