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Pace University



Detailed Course Information


Spring 2009
Aug 22, 2017
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Information Select the desired Level or Schedule Type to find available classes for the course.

LAW 826A - Clinic-Investor Rights
Under faculty supervision, student attorneys handle mediations and arbitrations before NASD Dispute Resolution on behalf of investors of modest means who have arbitrable disputes with their securities brokers. Students will work on critical lawyering skills including client interviewing and counseling, fact investigation, claim evaluation, participating in discovery, legal research, preparation of legal memoranda, and possibly working with experts who serve as financial consultants to SAC, conducting an arbitration or mediation, or negotiating a settlement. Student attorney teams meet regularly and frequently with each other and with the clinical faculty throughout the year. Students may also participate in investor education programs, draft comment letters on SEC or NASD rule proposals, and publish scholarly position papers as part of the investor justice component of the clinic. The Clinic meets once a week as a seminar to study the substantive law of broker-dealer regulation, arbitration theory and practice, and lawyering skills. Students also will participate in several simulations during the seminar. Private practitioners, Securities and Exchange Commission attorneys, and staff from the Self-Regulatory Organizations may assist in the teaching of the seminar. We will also explore public policy considerations for small investors. Prerequisite: Professional Responsibility. Permission of the professor, based upon application and interview, is required. It is recommended that students take Business Associations I (Corporations & Partnerships) before enrolling. In addition, it is helpful if students take Trial Advocacy either before or concurrently with the Clinic. Preference is given to third and fourth year students. Prerequisite: Professional Responsibility
2.000 TO 3.000 Credit hours
2.000 TO 3.000 Lecture hours

Levels: Law-JD, Law-LLM
Schedule Types: Clinical, Tutorial

Law Department

Must be enrolled in one of the following Levels:     

LAW 826B

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Release: 8.5.4