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R E S E A R C H

Open Access

Applications of fixed point theorems in the

theory of invariant subspaces

Rafa Espínola and Miguel Lacruz

*

*Correspondence: [email protected]

Departamento de Análisis Matemático, Facultad de

Matemáticas, Universidad de Sevilla, Avenida Reina Mercedes, Seville, 41012, Spain

Abstract

We survey several applications of fixed point theorems in the theory of invariant subspaces. The general idea is that a fixed point theorem applied to a suitable map yields the existence of invariant subspaces for an operator on a Banach space. MSC: 47A15; 47H10

Keywords: invariant subspace; fixed point

1 Introduction

One of the most recalcitrant unsolved problems in operator theory is the invariant sub-space problem. The question has an easy formulation. Does every operator on an infinite dimensional, separable complex Hilbert space have a nontrivial invariant subspace?

Despite the simplicity of its statement, this is a very difficult problem and it has generated a very large amount of literature. We refer the reader to the expository paper of Yadav [] for a detailed account of results related to the invariant subspace problem.

In this survey we discuss some applications of fixed point theorems in the theory of invariant subspaces. The general idea is that a fixed point theorem applied to a suitable map yields the existence of invariant subspaces for an operator on a Banach space.

In Section  we consider the striking theorem of Lomonosov [] about the existence of invariant subspaces for algebras containing compact operators. The proof of this theorem is based on the Schauder fixed point theorem.

In Section  we present a recent result of Lomonosov, Radjavi, and Troitsky [] about the existence of invariant subspaces for localizing algebras. The proof of this result is based on the Ky Fan fixed point theorem for multivalued maps. The idea of using fixed point theorems for multivalued maps in the search for invariant subspaces was first introduced by Androulakis [].

In Section  we consider an extension of Burnside’s theorem to infinite dimensional Banach spaces. This result is originally due to Lomonosov []. We present a proof of it in a special case that was obtained independently by Scott Brown [] and that once again is based on the Schauder fixed point theorem.

In Section  we address the existence of invariant subspaces for operators on the Krein space of an indefinite product, and we present a result of Albeverio, Makarov, and Mo-tovilov [] whose proof uses the Banach fixed point theorem.

The rest of this section contains some notation, a precise statement of the invariant subspace problem, and a few historical remarks.

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LetEbe an infinite dimensional, complex Banach space, and letB(E) denote the alge-bra of all bounded linear operators onE. A subspace ofEis by definition a closed linear manifold inE.

A subspaceMEis said to beinvariant under an operatorTB(E) provided that

TMM, and a subspaceME is said to beinvariantunder a subalgebraRB(H) provided thatMis invariant under everyRR. A subalgebraRB(H) is said to be

transitiveprovided that the only subspaces invariant underRare the trivial ones,M={} andM=E. This is equivalent to saying that the subspace{Rx:RR}is dense inEfor eachxE\{}.

Thecommutantof a set of operatorsSB(E) is the subalgebraSof all operatorsRB(E) such thatSR=RSfor allSS. A subspaceMEis said to behyperinvariantunder an operatorTB(E) provided thatMis invariant under{T}.

Theinvariant subspace problemis the question of whether every operator inB(E) has a nontrivial invariant subspace. This is one of the most important open problems in operator theory.

The origin of this question goes back to , when von Neumann proved the unpub-lished result that any compact operator on a Hilbert space has a nontrivial invariant sub-space. Aronszajn and Smith [] extended this result in  to general Banach spaces. Bernstein and Robinson [] used nonstandard analysis to prove in  that every poly-nomially compact operator on a Hilbert space has a nontrivial invariant subspace. Halmos [] obtained a proof of the same result using classical methods.

Lomonosov [] proved in  that any nonscalar operator on a Banach space that com-mutes with a nonzero compact operator has a nontrivial hyperinvariant subspace. The re-sult of Lomonosov came into the scene like a lightning bolt in a clear sky, generalizing all the previously known results and introducing the use of the Schauder fixed point theorem as a new technique to produce invariant subspaces.

Enflo [] constructed in  the first example of an operator on a Banach space without nontrivial invariant subspaces. The example circulated in a preprint form and it did not appear published until , when it was recognized as correct work []. In the meantime, Beauzamy [] simplified the technique, and further examples were given by Read [, ]. Very recently, Argyros and Haydon [] constructed an example of an infinite dimen-sional, separable Banach space such that every continuous operator is the sum of a com-pact operator and a scalar operator, so that every operator on it has a nontrivial invariant subspace.

However, after so many decades, the question about the existence of invariant subspaces for operators on Hilbert space is still an open problem.

2 Invariant subspaces for algebras containing compact operators

We start with a fixed point theorem that is the key to the main result in this section. The use of this result is one of the main ideas in the technique of Lomonosov. We shall denote byconv(S) the closed convex hull of a subsetSE.

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Proof LetQdenote the closure of(C). It follows from a theorem of Mazur thatconv(Q) is a compact, convex subset ofE, and sinceCis closed and convex, we haveconv(Q)⊆C. Since(C)⊆Q, we have(conv(Q))⊆Q⊆conv(Q), and now the result follows from the

Schauder fixed point theorem.

Theorem .[, Theorem ] LetRB(E)be a transitive algebra and let KB(E)be a nonzero compact operator.Then there is an operator RRand there is a vector xE such that RKx=x.

Proof We may assume, without loss of generality, thatK= . Choose anxE such thatKx> , so thatx> . Consider the closed ballB={xE:xx ≤}. Then,

for eachRR, consider the open setGR={yE:Ryx< }. SinceRis a transitive algebra, we have

RR

GR=E\{}.

Since K is a compact operator, KBis a compact subset of E, and since K=  and

Kx> , we have  /∈KB. Thus, the family{GR:RR}is an open cover ofKB. Hence, there exist finitely many operatorsR, . . . ,RnRsuch that

KB

n

i= GRi.

Next, for eachyKBandi= , . . . ,nwe defineαi(y) =max{,  –Riyx}. Then ≤ αi(y)≤, and for eachyKB, there is ani= , . . . ,nsuch thatyGRi, so thatαi(y) > . Thus,ni=αi(y) >  for eachyKB, and we may define

βi(y) =αni(y) j=αj(y)

fori= , . . . ,nandyKB. Now, eachβiis a continuous function fromKBintoR. Hence, we may define a continuous mapping:BEby the expression

(x) = n

i=

βi(Kx)RiKx.

We claim that(B)⊆B. Indeed, for eachxB, we haveni=βi(Kx) =  so that

(x) –x=

n

i=

βi(Kx)(RiKxx)

n

i=

βi(Kx)RiKxx.

IfRiKxx> , thenαi(Kx) =  and thereforeβi(Kx) = . Hence,

(x) –x

n

i=

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and this completes the proof of our claim. Finally, each operatorRiK is compact so that each RiKBis relatively compact, and it follows from an earlier mentioned theorem of Mazur thatQ=convni=RiKBis compact. Since(B)⊆Q, the set(B) is a relatively compact subset of B. Now, we apply Proposition . to find a vector x∈Bsuch that (x) =x. Since  /∈B, we havex= . Then we consider the operator defined by

Rx= n

i=

βi(Kx)Rix,

and we conclude thatRRandRKx=x, as we wanted.

Corollary . [], [, Theorem ] Every nonscalar operator that commutes with a nonzero compact operator has a nontrivial,hyperinvariant subspace.

Proof LetTB(E) be a nonscalar operator and suppose thatTcommutes with a nonzero compact operatorK. We must show that the commutant{T}is nontransitive. Suppose, on the contrary, that {T}is transitive. We can apply Theorem . to find an operator

R∈ {T}such thatλ=  is an eigenvalue of the compact operatorRKwith an associated finite dimensional eigenspaceF=ker(RKI). SinceT commutes withRK, we observe thatT mapsFinto itself, and therefore,Tmust have an eigenvalue. SinceTis nonscalar, the corresponding eigenspaceMcannot be the wholeE, and it is invariant under{T}. The

contradiction has arrived.

3 Invariant subspaces for localizing algebras

In this section we use the following fixed point theorem of Ky Fan []. Recall that ifis a topological space and:P() is a point to set map fromto the power set of, thenis said to beupper semicontinuousif for everyxand every open setU

such that(x)⊆U, there is a neighborhoodVofxsuch that(x)⊆Ufor everyxV. In terms of convergence of nets, this definition is equivalent to saying that for everyx, for every net () withx, and for every() such that the net () converges to somey, we havey(x).

Theorem .(Ky Fan fixed point theorem []) Let C be a compact convex subset of a locally convex space, and let: CP(C)be an upper semicontinuous mapping such that(x)is a nonempty,closed convex set for every xC.Then there is an x∈C such that x(x).

A subalgebraRB(H) is said to bestrongly compactif its unit ball is precompact in the strong operator topology. An important example of a strongly compact algebra is the commutant of a compact operator with a dense range. We shall denote byball(R) the unit ball ofR.

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Thus, in order to solve the invariant subspace problem for essentially normal operators, it suffices to consider only operators with a strongly compact commutant.

Lomonosov, Radjavi, and Troitsky [] obtained a result about the existence of invari-ant subspaces for an operator with a strongly compact commutinvari-ant under the additional assumption that the commutant of the adjoint is a localizing algebra.

A subalgebraRB(E) is said to belocalizingprovided that there is a closed ballBE

such that  /∈Band such that for every sequence (xn) inBthere is a subsequence (xnj), and a sequence of operators (Rj) inRsuch thatRj ≤ and (Rjxnj) converges in norm to some nonzero vector. An important example of a localizing algebra is any algebra containing a nonzero compact operator.

Proposition .[, Proof of Theorem .] LetRB(E)be a transitive localizing algebra,

let BE be a closed ball as above,and let TRbe a nonzero operator.Then there exists an r> such that for every xB we have rball(R)(Tx)∩B=∅.

Proof First,T is one-to-one becauseRis transitive andkerT is invariant underR. If this is not so, then for everyn≥, there is a vectorxnBsuch thatRn, whenever

RRandRTxnB. SinceRis localizing, there is a subsequence (xnj) and a sequence (Rj) inRsuch thatRj ≤ and (Rjxnj) converges in norm to some nonzero vectorxX. We have TRj=RjT for allj≥, so that (RjTxnj) converges toTxin norm. Now Tx=  becauseTis injective andx= . SinceRis transitive, there is an operatorRRsuch that

RTx∈intB. It follows that there is aj≥ such thatRRjTxnj∈intBfor everyjj. Since

RRjR, the choice of the sequence (xn) implies thatRRjnjfor everyjj, and this

is a contradiction becauseRRjRfor everyj≥.

IfEis a Banach space, thenE∗denotes its dual space. IfRB(E) is a subalgebra, then

Rdenotes the subalgebra ofB(E) of the adjoints of the elements ofR, that is,R={R:

RR}.

Theorem . [, Theorem .] Let E be a complex Banach space, let RB(E)be a strongly compact subalgebra such thatRis a transitive localizing algebra and it is closed in the weak-operator topology.If TRis a nonzero operator,then there is an operator RRand there is a nonzero vector x∗∈Esuch that RTx∗=x∗.Moreover,the operator Thas a nontrivial invariant subspace.

Proof We shall apply Proposition . to the algebraR∗. LetB∗⊆E∗be a closed ball as in the definition of a localizing algebra, letr>  be a positive number as in Proposition ., and define a multivalued map:B∗→P(B∗) by the expression

x∗=rballRTx∗∩B∗.

Then,(x∗) is a nonempty, convex subset ofB∗. Also, (x∗) is weak-∗closed because ball(R∗)(Tx∗) is weak-∗compact as the image ofball(R∗) under the mapR∗→RTx∗, which is continuous from B(E∗) with the weak-∗ operator topology intoE∗ with the weak-∗topology, andball(R∗) is compact in the weak-∗operator topology.

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and such thatyα(xα). We must show thaty∗∈(x∗). Sinceyα(xα), there is an

Rα∈ball(R∗) such thatyα=rRαTxα. Sinceball(R) is precompact in the strong operator topology, there exists a subnet (Rαβ) that converges in the strong operator topology to some RB(E). Thus,RαβR

in the weak-operator topology. Notice thatball(R) is compact in this topology becauseball(B(E∗)) is compact in this topology andR∗ is closed in this topology. It follows thatR∗∈ball(R∗). LetxEand notice thatTRαβx

TRx →. Then

x,yαβ

= x,rRαβTx

αβ

=rTRαβx,xαβ

=rTRαβxTRx,xαβ

+rTRx,xα

β

.

We haveTRαβxTRx,xαβ → andTRx,x

αβTRx,x

=x,RTx, so that

x,yα

β

x,rRTx∗.

SincexE is arbitrary,yαβrR

Txin the weak-topology, and it follows thaty=

rRTx∗. This shows thaty∗∈(x∗), and the proof of our claim is complete.

Since the mapis upper semicontinuous andB∗ is compact in the weak-∗topology, it follows from the Ky Fan fixed point theorem that there is a vectorx∗∈B∗ such that

x∗∈(x∗); that is, there is an operatorR∈ball(R) such thatx∗=rRTx∗.

Finally, consider the closed subspace defined asM=ker(RT∗–I). Notice thatMis invariant underT∗ andM={}. IfT∗ is not invertible thenM=Eand we are done. If

T∗is invertible, pick anyλσ(T∗) and putS=λT∗. ThenSis not invertible and the preceding argument applied toS shows thatShas a nontrivial invariant subspace. It is

clear that such subspace is also invariant underT∗.

Corollary .[, Corollary .] Let TB(E)be an operator such that{T}is a strongly compact algebra and{T∗}is a localizing algebra.Then Thas a nontrivial invariant sub-space.

Proof IfT∗has a hyperinvariant subspace then there is nothing to prove, and otherwise

{T∗}is a transitive algebra so that Theorem . applies.

Notice that the assumptions of Corollary . are met wheneverTis a compact operator with a dense range.

4 An infinite dimensional version of Burnside’s theorem

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LetHbe a complex, infinite dimensional, and separable Hilbert space. LetTB(H), and letTedenote the essential norm ofT, that is, the distance fromT to the space of compact operators.

Theorem .[, Theorem .] LetRbe a commutative subalgebra ofB(H).Then there exist nonzero vectors x,yH such that for any RRwe have|Rx,y| ≤ Re.

Proof Consider the setE={RR:Re≤/}. We claim that there is somexH\{} such that the setExis not dense inH. The result then follows easily because in that case there is someyH\{}such that|Rx,y| ≤ for allRE. Now, for the proof of our claim, we proceed by contradiction. Suppose that the setExis dense inH for everyxH\{}. Choosex∈Hwithx=  and consider the closed ballB={xH:xx ≤}. Then,

for every vectorxB, there is an operatorRxEsuch thatRxxx< /. Next, there

is a bounded operatorTxand a compact operatorKxsuch thatRx=Tx+KxandTx ≤ /. SinceKx is a compact operator, it is weak-to-norm continuous on bounded sets so that there exists an open neighborhood ofxin the weak topology, sayVxH, such that

KxyKxx< / for allyVxB. Then consider the setUx=VxBand notice thatUx is an open neighborhood ofxin the weak topology relative toB. Moreover, foryUxwe have

RxyRxxTxyTxx+KxyKxx< ·  +

 =

 ,

and thereforeRxyx< . Hence,RxUxB. SinceBis compact in the weak topology, there exist finitely many vectorsx, . . .xnBsuch that

B

n

j= Uxj.

Choose some weakly continuous functions f, . . . ,fn on Bsuch that supp(fj)Uj, 

fj(x)≤, and n

j=

fj(x) =  for allxB.

Define a weakly continuous mapping:BBby the expression

(x) = n

j=

fj(x)Rxjx for allxB,

and apply the Schauder fixed point theorem to find a vectory∈Bsuch that(y) =y.

Finally, consider the operatorRRdefined by the expression

R= n

j=

fj(y)Rxj.

Hence,Ry=y. Notice thatR=IbecauseRe≤/. Then, the eigenspaceM={xH:

Rx=x}is a closed nontrivial invariant subspace for the algebraR. Thus, any vectorxM

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5 Invariant subspaces for operators on the Krein space

LetH,Hbe two Hilbert spaces and consider the orthogonal direct sumH=HH. Let

P,Pdenote the orthogonal projections fromHontoH,H, respectively. Consider the operatorJ:=PP. TheKrein spaceis the spaceHprovided with the indefinite product

[x,y] :=Jx,y, x,yH.

Notice thatJis a selfadjoint involution, that is,J∗=JandJ=I. The operatorJis

some-times called thefundamental symmetryof the Krein space.

A vectorxHis said to benonnegativeprovided that [x,x]≥, and a subspaceMH

is said to benonnegativeprovided that [x,x]≥ for allxM. Every operatorTB(H) has a matrix representation

T=

T T T T

with respect to the decompositionH=HH.

There is a natural, one-to-one and onto correspondence between the maximal non-negative invariant subspacesMof an operatorTB(H) and the contractive solutions

XB(H,H) of the so-calledoperator Riccati equation

XTX+XTTXT= .

The correspondenceXMis given by M={xXx:xH}, whereX ≤. The operatorTis usually called theHamiltonian operatorof the operator Ricatti equation.

An operatorTB(H) is said to beJ-selfadjointprovided that [Tx,y] = [x,Ty] for every

x,yH. This is equivalent to saying thatJT=TJ, or in other words,T∗ =T,T∗ =T, andT∗ = –T.

A classical theorem of Krein is the assertion that if the Hamiltonian operator T is

J-selfadjoint and the corner operatorT is compact, then there exists a maximal non-negative invariant subspace forT.

Albeverio, Makarov, and Motovilov [] addressed the question of the existence and uniqueness of contractive solutions to the operator Riccati equation under the condi-tion that the diagonal entries in the Hamiltonian operator have disjoint spectra, that is,

σ(T)∩σ(T) =∅. They proved the following

Theorem .[, Theorem . and Lemma .] There is some universal constant c> 

such that whenever the corner operator Tsatisfies the condition

T<c·distσ(T),σ(T),

there is a unique solution X to the operator Riccati equation withX ≤.

An earlier result in this direction was given by Motovilov [, Corollary ] with the stronger assumption that the corner operatorTis Hilbert-Schmidt. Adamjan, Langer,

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J-selfadjoint. Kostrykin, Makarov, and Motovilov [] adopted the assumption thatσ(T) lies in a gap ofσ(T) and they showed that the best constant, in that context, isc=√.

We present a proof of Theorem . that is based on the Banach fixed point theorem. This method can be found in the paper of Albeverio, Motovilov, and Shkalikov [, The-orem .]. A basic tool is the bounded linear operatorRdefined forXB(H,H) by the

expression

R(X) :=TXXT.

It follows from the Rosenblum theorem that the mapRis invertible. The main result is the following

Theorem .[, Theorem .] If the operators T, Thave disjoint spectra and the corner operator Tsatisfies the estimate

T<  R–,

then there is a unique solution X to the operator Riccati equation withX ≤.

The following upper bound on the norm of the inverseR–can be found in the work

of Albeverio, Makarov, and Motovilov [, Theorem .]. See also the paper by Bhatia and Rosenthal [, p.] for this interesting result and other related issues.

Theorem .[, Theorem .] If the operators T,Thave disjoint spectra,then

R–≤π

 ·

dist[σ(T),σ(T)].

Notice that Theorem . becomes a corollary of Theorem . and Theorem . with the constantc= /π.

Proof of Theorem. Consider the quadratic mapQdefined forXB(H,H) by the ex-pression

Q(X) :=XTXT.

It is clear that the operator Riccati equation can be expressed as

Q(X) –R(X) = ,

or equivalently,X=R–(Q(X)). Thus, the solutions of the operator Riccati equation are the fixed points of the mapS:=R–◦Q. Now, let us check that the mapStakes the unit ball ofB(H,H) into itself. Indeed, ifX ≤, then

S(X)=R–Q(X)≤R–·Q(X)

R–·T · X+T

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Also, the mapSis contractive, for ifX,Y ≤, then

Q(X) –Q(Y)=XTXYTY

XTXXTY+XTYYTY

X+Y· T · XY ≤T · XY,

and from this inequality it follows that

S(X) –S(Y)=R–Q(X) –Q(Y)

R–·Q(X) –Q(Y)≤R–· T · XY

so that the map S satisfies a Lipschitz condition with a Lipschitz constant R– ·

T< . The result now follows at once as a consequence of the Banach fixed point

the-orem.

Competing interests

The authors declare that they have no competing interests.

Authors’ contributions

Both authors contributed equally and significantly in writing this article. Both authors read and approved the final manuscript.

Acknowledgements

This research was partially supported by Junta de Andalucía under projects FQM-127 and FQM-3737, and by Ministerio de Educación, Cultura y Deporte under projects MTM2012-34847C02-01 and MTM2009-08934.

Received: 23 April 2012 Accepted: 17 October 2012 Published: 30 October 2012 References

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doi:10.1186/1687-1812-2012-197

Cite this article as:Espínola and Lacruz:Applications of fixed point theorems in the theory of invariant subspaces.

References

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