Investor Advocacy Clinic


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 

  • Friday’s Files: New Account DocumentsBen Dell’Orto, Spring 2018 IAC Student Intern You have some money, and you’re ready to make it work for you, so you contact a broker to (hopefully) add a few digits to your sum. One of the earliest things you’ll … Continue reading →
  • IOSCO Recommends Standards for Regulators to Address Concerns with Elderly InvestorsBy Ben Dell’Orto, Spring 2018 IAC Student Intern The International Organization of Securities Commissions (IOSCO) recently released a report on the threats specific to senior investors. The report followed the analysis of risks and causes particular to older people with … Continue reading →