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.
- Update on SR-FINRA-2014-005: SEC Institutes “Rare” Proceedings on Proposed FINRA Rule Concerning Arbitrators’ Mid-Case ReferralsIn March, the Investor Advocacy Clinic, led by student interns Scott Evans, Benjamin Stubbs and Patricia Uceda, filed a comment on SR-FINRA-2014-005. As explained in Evans’ earlier post describing the proposal and the clinic’s comment, the proposed rule would permit arbitrators to speak … Continue reading →News
- Investor Advocacy Clinic Comments on FINRA Proposed Rule Change 2014-020By Nataliya Obikhod (Nemtseva), Spring 2014 Student Intern The GSU Investor Advocacy Clinic is committed to protecting the interests of individual investors. Therefore, in addition to providing legal services and participating in investor education and outreach, the clinic is also … Continue reading →News