Securities Arbitration Clinic

Course Catalog Number:
5874
Course Credits:
4
Course Type:
Clinic
Course Priority:
3rd Year Priority when offered in the Fall, 2nd Year Priority when offered in the Spring
Graduation Requirements:
"W" Writing
Experiential Learning
Full Year Course:
No

Course Description

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 2020-2021

Term Class #
Fall Term 2020-2021 18224

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Professor

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Spring Term 2020-2021

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Professor

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Course Offerings 2019-2020

Term Class #
Fall Term 2019-2020 18734

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Professor

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Spring Term 2019-2020

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Professor

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Course Offerings 2018-2019

Term Class #
Spring Term 2018-2019 19072

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Professor

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Fall Term 2018-2019 19122

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Professor

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