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Investor Rights Clinic

Law 826A/826B

  • 4 credit hours/semester (2 clinical, 2 academic), Fall semester
  • 3 credit hours/semester (2 clinical, 1 academic), Spring semester
  • 2 semesters required
  • One additional clinical credit hour per semester available with permission of instructor

Under faculty supervision, student attorneys handle securities arbitrations and mediations before the Financial Industry Regulatory Authority (FINRA) Dispute Resolution on behalf of small investors. Students perform client interviewing and counseling, fact investigation, claim evaluation, legal research, preparation of legal memoranda, and may conduct arbitration or mediation, or negotiate a settlement.  

In the weekly seminar, students explore the substantive law of broker-dealer regulation, arbitration theory and practice, and lawyering skills. Private practitioners, Securities and Exchange Commission attorneys, and staff from the self-regulatory organizations may assist in the teaching of the seminar.

Preference is given to third- and fourth-year students. Prerequisites: Professional Responsibility is required. Corporations and Partnerships, and Evidence are recommended. Students are also requested to take Trial Advocacy and Interviewing, Counseling, and Negotiation, either prior to or while taking the clinic.