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Client Information

Georgia State Law’s Investor Advocacy Clinic provides legal services to small investors who may have claims against their broker-dealers but who are not able to find legal representation due to the size of their claims. Law students, under the supervision of a faculty member who is a Georgia-licensed attorney, will represent investors in handling disputes with their broker-dealers that are subject to arbitration before Financial Industry Regulatory Authority (FINRA).

Guidelines

Investors may be eligible for assistance from the Investor Advocacy Clinic if they meet the following guidelines:

  1. Your claim should not exceed $100,000.
  2. You should not have any major assets (for example, vacation homes, other nonretirement investments) other than your home, your car and the investments that led to the claim for which you are seeking legal representation.
  3. You should be a resident of Georgia or have been a resident of Georgia when the transaction giving rise to your claim occurred.
  4. You have not otherwise been successful in obtaining an attorney to represent you in your claim against your broker-dealer.

In certain circumstances, the clinic may make an exception and consider representing investors who do not meet all of the above criteria.

If you believe you meet the above requirements and would like to consider having students (under attorney supervision) represent you, email us or call 404-413-9270 to set up an interview with a student intern who will determine whether you meet the clinic’s eligibility requirements.

Do not provide the Investor Advocacy Clinic with any information you consider confidential concerning your case in your initial contact to the clinic and before we have made an eligibility determination. Information on our website is not intended to create an attorney-client relationship, and receipt of  or use of this information does not constitute such a relationship.

In your initial interview, you will be asked to provide the following information:

  • Contact information, including address, telephone numbers (day, evening, cell), email address;
  • A brief description of your dispute with your broker-dealer;
  • The name and address of your broker-dealer;
  • When the disputed transaction(s) occurred;
  • The amount of money involved in your claim (amount invested, damages);
  • Your household’s annual income;
  • A description of any major assets that you have other than your residence and your car;
  • The names, addresses and telephone numbers of any attorneys you have consulted about this claim and who have declined to represent you due to the amount involved in your claim;
  • Where you lived when the disputed transactions occurred;
  • Whether you have ever been involved in any other litigation or arbitration (including bankruptcy); and
  • How you learned about the clinic.

Investors are responsible for all costs, other than legal fees, incurred in an arbitration and/or mediation of their claims, including filing fees, hearing fees and costs of discovery. The client must pay these fees directly to the forum at the required times. Upon demonstration of hardship, the Investor Advocacy Clinic may be able to assist in defraying or waiving costs. The Investor Advocacy Clinic does not charge investors attorneys’ fees for its services.

The clinic lacks the resources to accept every eligible case. A decision not to take your case is not a decision about the merits of your particular matter.

 
Nancy Johnson, 65; Law librarian always had a smile | via @GeorgiaStateLaw 13 hours ago