Investor Advocacy Clinic
The 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.
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.
- Investor Alert: Promissory Notes Don’t Offer Much PromiseBen Dell’Orto, Spring 2018 IAC Student Intern When the North American Securities Administrators Association (NASAA) polled state securities regulators on the “top five current investment practices, products or schemes” leading to a customer complaint or investigation, the results were overwhelming: … Continue reading →News
- Wednesday’s Word: Unit Investment TrustBy Esmat Hanano, Spring 2018 IAC Student Intern The Financial Industry Regulatory Authority (FINRA) has released its annual Regulatory and Examination Priorities Letter. One of the biggest priorities for FINRA in 2018 is monitoring the use of Unit Investment Trusts, … Continue reading →News