Allan Horwich
Professor of Practice Emeritus
Phone
(312) 953-5461
SSRN Author Page | Curriculum Vitae (pdf)
Assistant
Shona Bonds
Assistant Phone
(312) 503-4852
Assistant Email
shona-bonds@law.northwestern.edu
Biography
Allan Horwich practiced for more than 50 years, including corporate counseling and more than four decades of civil litigation practice with a focus on securities litigation. He advised corporations, financial institutions, investors, securities professionals, and boards of directors on a wide range of matters, including disclosure, corporate governance, corporate compliance, fiduciary duty and insider trading. He litigated and tried cases, including class actions and derivative claims, throughout the country under every one of the federal securities laws and represented clients in Securities and Exchange Commission (SEC) investigations and proceedings.
Areas of Expertise
- Securities Regulation
Courses
Selected Publications
- The Myriad Ways SEC Rule 10b5-1 Is Invalid, 79 Business Lawyer 23 (2023-24).
- Insider Trading in the Clinical Trial Setting, 20 Indiana Health Law Review 199 (2023) (with Crista M. Brawley).
- An Inquiry into the Perception of Materiality as an Element of Scienter under Rule 10b-5, 67 Business Lawyer 1 (2011).
- Cleaning the Murky Safe Harbor for Forward-Looking Statements: An Inquiry into Whether Actual Knowledge of Falsity Precludes the Meaningful Cautionary Statement Defense, 35 Journal of Corporation Law 519 (2010).
- When the Corporate Luminary Becomes Seriously Ill: When is a Corporation Obligated to Disclose That Illness and Should the Securities and Exchange Commission Adopt a Rule Requiring Disclosure? , 5 New York University Journal of Law And Business 827-871 (2009) reprinted in Securities Law Review 2010 (West Publishing) (Langevoort ed.)..
- The Origin, Application, Validity, and Potential Misuse of Rule 10b5-1, 62 Business Lawyer 913 (2007).
Education
- AB cum laude, Princeton University
- JD, University of Chicago
Prior Appointments
- Senior Lecturer, Northwestern University School of Law
- Professor of Practice, Northwestern University School of Law