Securities Arbitration Clinic

Course Catalog Number: 
Course Credits: 
Course Type: 
Graduation Requirements: 
"W" Writing
Professional Skills
Course Priority: 
3rd Year Priority when offered in the Fall, 2nd Year Priority when offered in the Spring

The Securities Arbitration Clinic is a two-semester clinic; however, students may enroll in either the spring or the fall semesters, but must complete 2 semesters in order to receive credit. Total credits hours for the two semesters are 8 credits. The Securities Arbitration Clinic offers a practical and educational opportunity in the securities arbitration process. In this course, the students will represent individual small investors with controversies of up to $75,000.00 before a securities panel under the supervision of practicing attorneys. The Securities Arbitration Clinic is designed to impart negotiation, advocacy and trial litigation skills to the students, as well as provide a service to investors that might otherwise be unrepresented.

Each student will handle all aspects of assigned a particular clients case, including:

  • Review case file
  • Meeting with the client to review facts, request supporting documents, and determine relevant issues
  • Research of applicable securities laws
  • Meeting with supervising attorney to determine course of action
  • If case is accepted, file power of attorney or entry of appearance with the Pennsylvania Supreme Court or Securities and Exchange Commission, preparing and filing a statement of claim with FINRA and following through with all aspects of case preparation.
  • Contact SEC attorneys, opposing counsel and the SRO to discuss recourse and schedule the arbitration panel if necessary.
  • For Arbitrations: Prepare case to be presented to the arbitration panel, including obtaining all necessary documents and witnesses, as well as completion of all research on the law; Represent the client in arbitration; Complete post arbitration work, including review of stipulated decision, if case is settled before arbitration.

Course Offerings 2015-2016

Term Class # Professor
Fall Term 2015-2016 20417
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Spring Term 2015-2016
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Course Offerings 2014-2015

Term Class # Professor
Spring Term 2014-2015 21458
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Fall Term 2014-2015 21126
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