(LEE) MICK SWARTZ, Phd (Finance), CAIA

301 B Accounting Building

University of Southern California
Los Angeles, CA 90404

Office Phone 213-740-6527

mick.swartz@marshall.usc.edu
Home phone 310-422-9030

AREAS OF INTEREST
Investments, Corporate Finance, Derivatives, Hedge Funds, CFA classes, CAIA,
EXPERIENCE
University of Southern California Associate Professor of Clinical Finance
2006-present, taught MBA investments, hedge funds, derivatives, Student
Investment Funds $3 million plus portfolio, corporate finance
Consult in Risk Management and legal cases for Hedge Funds and investors
Appeared on CNN, NBC, KTLA and NPR as expert on risk management,
financial regulation, investments and personal finance.
CFA Los Angeles teach level I and level III investments, derivatives and hedge
funds
Purdue University - Visiting Associate Professor of Finance, 2001-2006
University of Notre Dame - Visiting Associate Professor of Finance 2000 ,
Grand Valley State University 1995-2000, tenured, Associate Professor in
1997,
University of Manitoba- Assistant and Associate Professor of Finance, 19911995, offered tenure and promotion to Associate Professor
EDUCATION
University of Iowa - Honors Finance Ph.D (minor: Econometrics)
Western Michigan University Economics B.S./M.A. (4.0 GPA)
Michigan State University
Math Economics Spanish
Chartered Altnernative Investment Advisor
New York Institute of Finance Certificate Investments
Price-Babson Fellow in Entrepreneurship (1998) Certificate
HONORS & Certificates
Purdue University-Distinguished Professor - teaching, 2004, 2005 (twice),
2006
ANBAR research award, 1997(one of the best 150 bus. research papers in
the world)
Citation of Excellence in Research - ANBAR (1997)
GVSU research award 1997, 1998
GVSU teaching award 1996, 1997, 1998
Outstanding Research Award (1998)
Summer & Visiting Assignments
USC LINC programs in Taiwan, Hong Kong, Chile and Dublin

Melbourne University, GISMA Germany, Poland, Ukraine, Thammassat

Research Scholar
University of Chicago
Visiting Research Scholar 1995
Outside Board of Directors Service
California Hedge Fund Association

14 Double Blind Peer Reviewed PUBLICATIONS and Books

Hedge Fund Strategies and Tools, 3rd Edition Figueroa Press
Stock Option Returns and Stock Anomalies, Journal of Business Economics
and Finance, March 2013
A Robust Numerical Scheme for Pricing American Options Under Regime
Switching Based on Penalty Method, Fall 2013, Computational Economics,
Co-Authors Kai Zhang and Kok Lay Teo
Textbook : Hedge Fund Strategies and Tools, Jan 2013 Figueroa Press by
Mick Swartz
Options Chapter (with Jeff Harris, CFTC) for Kolb & Overdahl textbook
2010
Why do Firms Issue Stock at a Discount? Journal of Global Business Issues,
April, 2008
Secrecy, Collusion and Coalition Building Corporate Ownership and Control,
Spring, 2007.
Options for the Handbook of Finance , 2005 .
"Director's Duties Legislation and Shareholder Wealth", Regional Business
Review, May 1999
"Measuring Interest-Rate Risk in Retail Deposit Markets", with Dave Hutchison
and Gregg Dimkoff, Bank Accounting & Finance, Winter 1999.
"The Nested-Testing Comparison of Bankruptcy Models", May 1998 Financial
Review, (co-authors Charles Mossman, Geof Bell and Harry Turtle).
Cairney, Timothy D. and Swartz, Lee Mick, Differential Trading Patterns of
Institutional Investors Surrounding the Release of Management Forecasts of
Annual Earnings. Available at SSRN: http://ssrn.com/abstract=121488
"The 1990 Pennsylvania Antitakeover Law: Should Firms Opt Out of Antitakeover
Legislation?", Journal of Accounting, Auditing and Finance, Spring, 1996.
"Public Policy and Corporate Climate: The Explosion in Anti-takeover
Legislation", Business and Public Affairs, Winter, 1995, (co-author David E.
Hutchison).
"Antitakeover Legislation in the Southeast", Southeastern Economic Outlook,
vol. 10, no.3, Summer, 1995 (co-author David E. Hutchison).
"Testing the Size and the P/E Anomaly Using the APT", Regional Business
Review, vol. 13, May 1994.
"The Massachusetts Classified Board Law", Journal of Economics and
Finance, vol. 22,(Spring 1998).

"International Mergers", Regional Business Review, May 1997.

Presentations and Conferences
Professor Swartz has presented research papers at the annual conferences for
the American Finance Association (AFA), Financial Management Association
(FMA), Northern Finance Association (NFA) , Southern Finance Association
(SFA) , Midwest Finance Association (MFA) , Multi-National Finance Association
(MNFA) , Shanghai Futures Exchange, Australian Business Conference, and
many other conferences. Dr. Swartz has over 30 presentations in finance and
was consulted by the US Senate on the Dodd-Frank Legislation.