Individual Course Listings

  • Securities Arbitration Clinic

    Elective

    Credits:

    (Fall Registration Only - This clinic is a year-long experience.)

    This course will familiarize students with securities arbitration law. Students will study the statutes and regulations governing broker-dealers (brokerage firms) and registered representatives (stock brokers). Students also will represent eligible investors, under faculty supervision, in arbitration proceedings sponsored by the Financial Industry Regulatory Authority or FINRA. Through in-class exercises and client representation, students will be trained in fact investigation, witness interviewing, early case assessment, the use of expert witnesses, the preparation of pleadings, discovery, and arbitration practice (including opening and closing statements, witness examinations, and the presentation of evidence).

    Pre/Co-Requisite: Securities Regulation (or comparable experience)​​

​​

​​​
​​​​