Background
Ferrara, Ralph C. was born on June 16, 1945 in Gloversville, New York, United States. Son of Rufus Ferrara and Clara F. Riccitiello. Bachelor of Business Administration, Georgetown University, 1967.
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Ralph C. Ferrara
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Education
Georgetown (Bachelor of Science in Business Administration, 1967). University of Cincinnati (Juris Doctor, 1970). George Washington (Master of Laws in Corporate Law, 1972).
Career
Worked at Debevoise & Plimpton (New York, NY) specializing in General Practice. Admitted to the bar, 1970, District of Columbia. 1982, N.Y.; 1990, Florida.
1993, Colorado.
Author: Treatises: Securities Practice: Federal and State Enforcement, Volume 2, Callaghan & Company, 1985. "Takeovers: Attack & Survival," Butterworth Legal Publishers, 1987. "Redeeming Fallen Brokers: Managing the Aftermath of Broker-Dealer Enforcement Proceedings," Butterworth Legal Publishers, 1988.
"Stockbroker Supervision: Managing Stockbrokers and Surviving Sanctions," Butterworth Legal Publishers, 1989. "Beyond Arbitration: Designing Alternatives to Securities Litigation," Butterworth Legal Publishers, 1991. "Takeovers II: A Strategist's Manual for Business Combinations in the 1990s," Butterworth Legal Publishers, 1993.
"Shareholder Derivative Litigation: Besieging the Board," Law Journal Seminars-Press, 1995. "Ferrara on Insider Trading and The Wall," Law Journal Seminars-Press, 1995. Academic and Professional Journals: Internal Corporate Investigations and the SEC's Message to Directors in Cooper Company, University of Cincinnati Law Review, Volume 65, No.
1 (Fall 1996); Government Subpoenas and Attorney Files, The Review of Securities & Commodities Regulation, Volume 27, No. 2 (January 26, 1994). Alternative Dispute Resolution in Class Action Suits, The Review of Securities & Commodities Regulation, Volume 26, No.
19 (November 10, 1993). Role of Investigative Committees and Special Counsel, The Corporate Analyst, Volume 5, No. 1 (November 1992): Securities Market Reform in the Age of Program Trading, Journal of Corporate Disclosure and Confidentiality, Volume 3, No.
3 (September 1992); Articles: Representing Foreign Individuals in SEC and SRO Proceedings, International Securities Regulation Report Volume 5, No. 3 (January 14, 1992). The Institutional Investor and Corporate Ownership, Securities Regulation Law Journal (Winter 1992).
The Regulations Governing Broking, International Financial Law Review (December 1991). Hardball! The SEC's New Arsenal of Enforcement Weapons, The Business Lawyer, Volume 47, No. 1 (November 1991); Derivative Liability in Securities Law: Controlling Person Liability and Respondeat Superior, Part of an article published in 40 Wash.
& Lee L. Rev. 1007 (1983), Securities Law Administration, Litigation and Enforcement, Selected Articles on Federal Securities Law, Volume III, Section of Business Law, American Bar Association (1991). Legal Representation in the International Securities Market: Representing a Party or Witness in an SEC or SRO Proceeding, The Delaware Journal of Corporate Law, Volume 14, No. 3 (1989); Broker-Dealer Supervision of Registered Representatives and Branch Office Operations, Co-author, The Business Lawyer, Vol 44, No.
4 (August 1989); SEC Expands Enforcement Role To the International Marketplace, The National Law Journal (April 24, 1989). Inside Traders Face Wave of Private Litigation, The National Law Journal (September 19, 1988). Laying Out the Basics: A Close-Up View of the Supreme Court Decision in Basic v.
Levinson, American Business Law Journal, Volume 26, No. 2 (Summer 1988); Danger Points and Defenses for Broker-Dealers, The National Law Journal (November 9, 1987). Immobilization of the Security Certificate: The United States.
Experience, Securities Regulation Law Journal, Volume 15, No. 3 (Fall 1987); Financial Planning by Insurance Companies, The Review of Financial Services Regulation, Volume 3, No. 3 (February 4, 1987), reprinted as Marketing Financial Planning Services: Overcoming the Regulatory Hurdles for Insurance Companies, Journal of Insurance Regulation, Volume 5, No.
4 (June 1987); Banks as Financial Planners, The Review of Financial Services Regulation, Volume 2, No. 8 (April 23, 1986); Federal Regulation of Financial Planners, The Review of Financial Services Regulation, Volume 2, No. 2 (January 29, 1986).
Tender Offer Tactics, The Review of Securities & Commodities Regulation, Volume 19, No. 2 (January 22, 1986). Overview of an SEC Enforcement Action, 8 Corporation Law Review 306 (Fall 1985).
Tender Offer Developments: 1985 Midyear Review, Legal Times (August 5, 1985). Preventing Insider Trading, The Listed Company (May 1985). New Insider Trading Act Fails to Define Liability, New York Law Journal (December 10, 1984).
Opposition to Poison Pill Warrants is Mounting, Legal Times of Washington (October 15, 1984). Should Criminal Courts Enforce Securities Law? Legal Times of Washington (October 8, 1984). SEC-CFTC Accord: One Year Later, An Uneasy Peace, Legal Times of Washington (January 30, 1984).
Derivative Liability in Securities Law: Controlling Person Liability, Respondeat Superior and Aiding and Abetting, 40 Washington and Lee Review 1007 (Summer 1983). Shelf Registration of SEC Temporary Rule 415, 5 Corporation Law Review (Fall 1982). Legislative and Market Forces Reshape Financial Services Industry, North Carolina Bar Association Commercial, Banking and Business Law Section (August 1982).
The Interplay Between State Corporation and Federal Securities Law -- Santa Fe, Singer Burks, Maldonado, Their Progeny & Beyond, 7 Delaware Journal of Corporate Law 1 (1982). Courts Struggle to Define Manipulative Practices, Legal Times of Washington (May 3, 1982). SEC Tests Waters with Shelf Registration Release, Legal Times of Washington (March 8, 1982).
Tender Offers 1981:Significant Legal Developments Legal Times of Washington (January 25, 1982);The Role of Inside Counsel in the Corporate Accountability Process, 4 Corporation Law Review 3 (1981). Disclosure of Information Bearing on Management Integrity and Competency -- Sliding Down the Slippery Slope of Materiality, 76 Northwestern University Law Review and Washington University Law Review 555 (1981). Corporate Governance, 36 The Business Lawyer 759 (1981).
A Reappraisal of Santa Fe: Rule 10b-5 and The New Federalism, 129 University of Pennsylvania Law Review 263 (1980). Rule 10b-5 and the New Federalism, 53 Wisconsin Bar Bulletin 16 (November 1980). Accountants and Bankers: Public Expectations and Professional Accountability, Journal of Commercial Bank Lending (The Robert Morris Associates, June 1978).
The Future of Federal Influence on Corporate Governance, Directors Monthly (National Association of Corporate Directors, Volume 2, No. 5, May 1978); Public and Private Enterprise in the United States: Co-Existence and Unsteady Equilibrium, Public and Private Enterprise in Mixed Economies (W. Freedman, ed., London: English Edition, Stevens and Sons, 1974), A comparative analysis treating co-existent public and private enterprise in France, Italy, Turkey, Nigeria, United Kingdom and United States, (Editions published in French, Italian and Turkish). Administrative Proceedings Under the Securities Exchange Act of 1934, 25 Mercer Law Review 671, Lead Articles Issue, Securities Regulation Edition (Spring 1974).
Securities and Exchange Commission's Detection of Investigation, and Enforcement of Selected Practices that Impair Investor Confidences in our Capital Markets, Howard Law Review, Lead Articles Issue - Securities Regulation Edition (June 1971), Member, Advisory Board of Securities Regulation and Law Report. Faculty, National Law Center, George Washington University, 1970-1972. General Counsel, Board of Visitors, University of Cincinnati College of Law and Board of Advisors, The Center for Corporate Law, University of Cincinnati College of Law, 1987.
Securities and Exchange Commission, 1978-1981. Member: Washington, D.C. Panel of Distinguished Neutrals, CPR Institute forDispute Resolution, 1996. Administrative Conference of the United States, 1982-1985.
Ray Garrett Institute Advisory Committee, 1982. Practising Law Institute, Securities Law Advisory Committee, 1981, Co-Chair, Annual Institute on Securities Regulation, 1994. Co-Chair, Sweeping Reform: Litigating and Bespeaking Caution Under the New Securities Law, 1996.
The Review of Financial Services Regulation, Board of Advisers, 1987. Member, Legal Advisory Committee to the New York Stock Exchange Board of Directors. Chairman, 1992, Center for Public Resources, Inc., Securities Dispute Committee, 1988-1989.
Member: Federal (Member: Executive Council, Securities Law Committee, 1978. General Counsel Committee, 1978-1981) and American (Member: Section on Corporation, Banking and Business Law. Federal Regulation of Securities Committee.
Vice-Chairman: Civil Liabilities and Litigation Subcommittee, 1981. Chairman, Task Force on Broker-Dealer Compliance, 1988. Chairman, Market Structures Working Group of the Task Force on Review of Federal Securities Laws.
Member: Task Force on Insider Trading Controls, 1985. Task Force SEC Settlements, 1987. Task Force on Section 15 (c) (4) Proceedings, 1987.
Task Force on Securities Arbitration, 1987. Section Planning and Review, 1986) Bar Associations. Insurance Marketplace Standards Association (Independent Assessor Certification, Market Conduct Program, 1997).
American Law Institute. (Washington, D.C. Office). Debevoise & Plimpton a preeminent international law firm, was founded in 1931 and today has over 370 lawyers with offices in New York, Washington, D.C., Los Angeles, Paris, London and Budapest.
Works
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Membership
Member, Advisory Board of Securities Regulation and Law Report. Faculty, National Law Center, George Washington University, 1970-1972. General Counsel, Securities and Exchange Commission, 1978-1981.
Member: Board of Visitors, University of Cincinnati College of Law and Board of Advisors, the Center for Corporate Law, University of Cincinnati College of Law, 1987. Washington, D.C. Panel of Distinguished Neutrals, CPR Institute for Dispute Resolution, 1996. Administrative Conference of the United States, 1982-1985.
Ray Garrett Institute Advisory Committee, 1982. Practising Law Institute, Securities Law Advisory Committee, 1981, Co-Chair, Annual Institute on Securities Regulation, 1994, Co-Chair, Sweeping Reform: Litigating and Bespeaking Caution Under the New Securities Law, 1996. The Review of Financial Services Regulation, Board of Advisers, 1987.
Member, Legal Advisory Committee to the New York Stock Exchange Board of Directors. Chairman, 1992, Center for Public Resources, Inc., Securities Dispute Committee, 1988-1989. Member: Federal (Member: Executive Council, Securities Law Committee, 1978.
General Counsel Committee, 1978-1981) and American (Member: Section on Corporation, Banking and Business Law. Federal Regulation of Securities Committee.
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