Investor Advocacy Clinic

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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 

  • Attention Advisory Clients: Are You Being Overbilled?by Qudsia Shafiq, Spring 2017 Student Intern In late January 2017, the Securities and Exchange Commission (SEC)  reported Citigroup Global Markets, Inc. agreed to an $18.3 million settlement for allegedly overbilling at least 60,000 investment advisory clients and misplacing another … Continue reading →
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  • Wednesday’s Word: SIFMAby La’ Nise Harrington, Spring 2017 Student Intern FINRA, the SEC, and NASAA are all acronyms that you may have come across in your investment history. And they all may have been enough to start a headache. Luckily, your friends … Continue reading →
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