Investor Advocacy Clinic

STU_BrowneRyan_IACPresentation Misc_Logo_InvestorAdvocacyClinicThe Investor Advocacy Clinic represents and educates investors while providing a quality educational experience to Georgia State Law students. The clinic is made possible by a grant from the FINRA Investor Education Foundation and Georgia State Law.

Educating and Assisting Small Investors

The clinic represents investors who have suffered losses resulting from broker misconduct but cannot afford or find private legal representation because of the size of their claim. The clinic will provide legal assistance and advice to eligible investors who may have claims involving misrepresentation, unsuitability, unauthorized trading, excessive trading (“churning”) and failure to supervise.

How to Become a Client 

Educating Law Students

Under the supervision of experienced faculty, trained law students handle most aspects of representation, including client in-take, interviewing, claim evaluation and preparation, settlement negotiations, and advocacy in mediation and arbitration before the Financial Industry Regulatory Authority (FINRA). Under the terms of the standard agreement between brokers and their customers, investors are bound to arbitrate most claims before FINRA. In addition, students will educate investors on ways to avoid broker disputes.

Learn More About Becoming a Clinical Student 

  • Beware Penny Stock Scams Involving Hyping Dormant Shell CompaniesBy Patricia Uceda, Fall 2014 Graduate Research Assistant The SEC is warning investors that some penny stocks that are being aggressively promoted are actually stocks of dormant companies that currently have no business operations and are essentially empty shells. Penny … Continue reading →
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  • NASAA Warns Investors about Ebola-Related Investment ScamsBy Patricia Uceda, Fall 2014 Graduate Research Assistant In addition to warnings given by the FTC about Ebola-related charity scams, NASAA has also issued an alert warning investors about opportunistic investment schemes related to Ebola. NASAA states that, based on … Continue reading →
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Find out how Securities and Exchange Commission investigations work — Read the Investor Advocacy Clinic blog. via @GeorgiaStateLaw 19 hours ago