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.
- Part 10: FINRA Dispute Resolution Task Force: Enhancing Securities Dispute Resolution One Recommendation At A Time. Forum Access, Unpaid Awards, Frivolous Motions to Vacate, Requiring Arbitrators to Apply the Law, and the Proposed FINRA-DR Merger.By: Alexandra Hughes, Spring 2016 Graduate Research Assistant Forum Access Although the task force did not make any recommendations regarding forum access in FINRA arbitration proceedings, the task force did discuss the following issues: Definition of “Customer” A customer, according … Continue reading →News
- Part 9: FINRA Dispute Resolution Task Force: Enhancing Securities Dispute Resolution One Recommendation At A Time. Large Claims, Time Limits, Class Action Waivers, and the Mandatory Nature of Arbitration.By: Alexandra Hughes, Spring 2016 Graduate Research Assistant Parts 2-8 of this series discussed those topics with task force recommendations. Parts 9 and 10 discuss topics without task force recommendations. Although the task force made no recommendations for these issues, … Continue reading →News