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 

  • FINRA Investor Alert on Bond LiquidityBy: Jason Robinson, Summer 2015 Graduate Research Assistant The Financial Industry Regulation Authority (FINRA) recently issued an Investor Alert entitled Bond Liquidity—Factors to Consider and Questions to Ask. A liquid investment is one that can be bought and sold easily without … Continue reading →
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  • SEC Files Complaint Against Alleged Ponzi-Scheme FraudsterBy: Jason Robinson, Summer 2015 Graduate Research Assistant The SEC recently filed a complaint concerning a Miami-based Ponzi scheme.  In 2007, Phil Williamson allegedly began to recruit investors for an investment fund called the Sterling Fund. Mr. Williamson allegedly told … Continue reading →
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