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Faculty News for Professor David Rosenfeld

David RosenfeldDavid Rosenfeld
Assistant Professor of Law

B.A., Brandeis University
J.D., Harvard Law School
Ph.D., Columbia University


Phone: 815-753-9489


Professor Rosenfeld's Law Review Article Cited in The Wall Street Journal

Professor David Rosenfeld's article on "Admissions in SEC Enforcement Cases: The Revolution That Wasn't," published in the Iowa Law Review, was cited in the article "SEC Signals Pullback From Prosecutorial Approach to Enforcement," published in The Wall Street Journal.  The article points out that despite the SEC's stated policy of requiring admissions when settling certain cases -- particularly  those involving egregious misconduct -- the agency has in fact obtained very few admissions since the policy was instituted and only rarely in cases involving the worst forms of misconduct. 

Professor Rosenfeld's Research Mentioned in Washington Post Article

Professor David Rosenfeld's research was mentioned in the article, Wall Street’s watchdog is pursuing fewer cases since Trump took office, published in the November 23, 2017 edition of the Washington Post. During the Obama administration, the Securities and Exchange Commission claimed they would force more companies to admit wrongdoing as part of settlements. However, Professor Rosenfeld's research revealed that only about 2 percent of 2,063 cases filed from 2014 through 2017 included such admissions.  Professor Rosenfeld's research is described in his law review article, "Admissions in SEC Enforcement Cases: The Revolution That Wasn't," recently published in the Iowa Law Review.

Professor Rosenfeld Pens Op-Ed for Wall Street Journal

Professor David Rosenfeld published an op-ed in the June 16, 2016 edition of the Wall Street Journal concerning a recent insider-trading case that implicated professional golfer Phil Mickelson. Mickelson was never charged, criminally or civilly, but agreed to disgorge over $1 million in profits he made from his trades. Professor Rosenfeld argued that the disgorgement order rested on shaky legal ground, given the current state of insider trading law. Prior to joining the NIU Law faculty, Professor Rosenfeld was co-head of enforcement for the Securities and Exchange Commission's New York office.

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