Haub Law Professor Appointed to SEC Investor Advisory Committee

May 19, 2020
Elissa Germaine


An authority on securities law, Prof. Elissa Germaine will help advise the U.S. Securities and Exchange Commission on regulatory priorities and protecting investors

WHITE PLAINS, N.Y., (May 19, 2020) The U.S. Securities and Exchange Commission has named Elisabeth Haub School of Law Prof. Elissa Germaine to its Investor Advisory Committee.

Prof. Germaine is one of six new members appointed to the committee, established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to advise the SEC on regulatory priorities, regulation of securities products, trading strategies, fee structures, disclosure effectiveness, and initiatives to protect investors and promote investor confidence and the integrity of the U.S. securities markets.

“I welcome and look forward to working with this accomplished and diverse group of new Committee members,” said SEC Chairman Jay Clayton. “I also thank the SEC staff and Commissioners Peirce, Roisman, and Lee for their collective efforts to bring a strong group of new members to the Committee.”

Prof. Germaine is Executive Director of Haub Law’s John Jay Legal Services and Director of its Investor Rights Clinic. John Jay Legal Services offers direct representation of clients in five different areas: criminal defense; disability rights; immigration and immigrants' rights; investor rights/securities dispute resolution; and food and beverage businesses and nonprofits.

At Haub Law’s Investor Rights Clinic, under Prof. Germaine’s direction, students with faculty supervision handle securities arbitrations and mediations before the Financial Industry Regulatory Authority (FINRA) dispute resolution body on behalf of investors of modest means who have arbitrable disputes with their securities brokers.

“I look forward to working with the other members of the Investor Advisory Committee to help the SEC protect investors and promote confidence in the U.S. securities markets,” said Prof. Germaine.

Prof. Germaine previously taught in the legal skills and legal writing programs at Haub Law and New York Law School. Before entering legal education, Prof. Germaine practiced securities litigation and arbitration, white collar defense and investigations, and complex commercial litigation at Latham & Watkins LLP in San Francisco. She began her legal career as a law clerk for the Honorable John S. Rhoades, Sr. in the U.S. District Court for the Southern District of California. She has a J.D. from Northwestern Pritzker School of Law and a B.A. from Dartmouth College.

“Prof. Germaine’s experience leading our John Jay Legal Services and Investor Rights Clinic make her a perfect match for the work she will be doing advising the SEC,” said Haub Law Dean Horace Anderson. “She brings a wealth of knowledge to the Investor Advisory Committee, and the work she does there in turn will help enrich her teaching of Haub Law students.”

Prof. Germaine and five other new advisory committee members will join the current members, who continue to serve their regular terms. The Investor Advisory Committee’s next meeting will take place May 21, and will be available to view via webcast at sec.gov.

About Elisabeth Haub School of Law

Pace University’s Elisabeth Haub School of Law (Haub Law) offers J.D. and Masters of Law degrees in both Environmental and International Law, as well as a Doctor of Juridical Science (SJD) in Environmental Law. The school, housed on the University’s campus in White Plains, N.Y., opened its doors in 1976 and has over 8,500 alumni around the world. The school maintains a unique philosophy and approach to legal education that strikes an important balance between practice and theory.

The Elisabeth Haub School of Law launched its Environmental Law Program in 1978; it has long been ranked among the world’s leading university programs. Pace’s doctoral graduates teach environmental law at universities around the world. Pace’s J.D. alumni are prominent in environmental law firms, agencies and non-profit organizations across the U.S. and abroad. In 2016, the Law School received a transformational gift from the family of Elisabeth Haub, in recognition of its outstanding environmental law programs. For more information visit http://law.pace.edu

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