Prospective Students


Investor Advocacy Clinic I (3 credits)

Prerequisite: 2.30 GPA and successful completion of all first-year courses.

Investor Advocacy Clinic students focus on the representation of small investors with claims against their brokers in FINRA mediation and arbitration. Under appropriate supervision, students will gain experience and knowledge in investigating potential claims, interviewing and counseling clients, preparing case documents, negotiating settlements and participating in the FINRA mediation and/or securities arbitration process.

Students also engage in community education and outreach to benefit potential investors. Participating students will have the opportunity, through live client representation, simulations and community outreach, to develop valuable lawyering skills and gain exposure to substantive business law issues as well as alternative dispute resolution methods.

Enrollment is limited and prospective students must obtain the permission of the instructor prior to registering for this course. Students who have completed the first semester of their second year (full time) or third year (part time) may apply to participate in the clinic.

It is strongly recommended that students take Corporations and/or Securities Regulation prior to or concurrently with enrollment in the Investor Advocacy Clinic.

Time Commitment

Students are expected to devote at least seven hours each week to client work and projects. These seven hours are in addition to preparing for and attending the course’s weekly seminar component (two hours) and a weekly supervision meeting with the clinical professor (at least one hour) for a total of at least 10 hours per week in the clinic.

Students may not average their hours by, for example, spending 20 hours one week on clinic work and no hours the following week. The total of 10 hours is a minimum to be met by each student every week. Because the clinic represents real clients with real legal issues, students may be required to devote more than 10 hours some weeks to meet their ethical obligations to clients.