Investor Rights Clinic

(Law 826A/826B)

• 3 credit hours/semester (1 clinical, 2 academic), Fall semester
• 2 credit hours/semester (1 clinical, 1 academic), Spring semester
• 2 semesters required
• Additional clinical credit hours 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.

• Investor Rights Clinic Brochure
• Investor Rights Clinic Eligibility Standards and Questionnaire
• "Investor's Guide to Securities Industry Disputes: How to Prevent and Resolve Disputes with Your Broker," Pace Law School / FINRA Educ. Found. (2011) (with J. Gross, et al., eds.).
• Pace Investor Rights Clinic: Modest Means New Yorkers Have a Pro Bono Advocate in Wall Street Disputes (Podcast - students' roundtable discussion moderated by Assistant Director of PIRC and Visiting Professor Ed Pekarek)