The Securities Law Clinic provides students with an opportunity to develop fundamental investigatory and advocacy skills in the context of the substantive laws governing investments.
The Securities Law Clinic fills a need in the largely rural “Southern Tier” region of upstate New York, where the public does not generally have access to an extensive private bar with experience in investor rights. A focus of the Securities Law Clinic is representation of public investors in disputes subject to arbitration at the Financial Industry Regulatory Authority. As part of its community outreach, the Securities Law Clinic also provides public education as to investment fraud, with particular attention to investment schemes targeting the elderly and retirees.
“[We] would like to express our sincere thanks for all the hard work both yourself and the students put into our case. Your dedication and hard work has brought this stressful situation to an end. We understand the amount of work and research put into our case by the students and yourself in addition to the studies the students must complete each day…. [We] were not sure where to turn, however, your expertise and the knowledge of the students was of great value.” (from a client of the Cornell Securities Law Clinic)Read More About The Clinic
Houston Businessman Charged with Offering FraudSEC Sues Kaleta and His Company for Conducting Fraudulent $10 Million Promissory-Note Offering ...
SEC Halts Ponzi Scheme Aimed at "Green" InvestorsFoursome targeted elderly with promises of high returns on "green" investments . . .
SEC Halts Hedge Fund CFO's Trading SchemeBoston Provident CFO Sold His Personal Securities to the Hedge Fund at Inflated Prices . . .
SEC Charges NY Broker for Manipulating StockThe SEC has charged a New York broker for manipulating stock prices through fake press releases and internet postings ...
Investment Adviser Charged with Fraudulent SchemeSEC sues Value Line Inc. for $24 million fraudulent scheme ...
SEC Exposes Insider Trading RingSan Francisco Based CFO Passed Along Insider Information to Family and Friends . . .
SEC Halts $2.3 Million Offering FraudSEC obtains order halting an ongoing fraud involving the sale of stock in Amante Corporation ...
SEC Halts Fraudulent Stock OfferingSEC brings emergency action against Thompson Price Holding Inc. for fraudulent stock offering ...
Securities Law Clinic Suggests Rule ChangesThe Cornell Securities Law Clinic suggests changes to a preliminary FINRA rule governing communications with the public.
Securities Law Clinic Supports Pay-to-Play RuleThe Cornell Securities Law Clinic supports an SEC proposal to regulate so-called "pay-to-play" by Investment Advisers.
Securities Law Clinic Supports PIABA ProposalCornell Securities Law Clinic urges SEC to approve proposal to eliminate mandatory industry arbitrators in customer cases.
Securities Law Clinic Comments on BrokerCheck RuleThe Cornell Securities Law Clinic has urged FINRA to extend the availability of broker disciplinary records ...
Securities Law Clinic Prevails On AppealThe Cornell Securities Law Clinic has prevailed in a California appeal over an unconscionable arbitration provision....
Securities Law Clinic Comments on Bank-Broker RuleCornell Securities Law Clinic files Comment Letter supporting in part and opposing in part FINRA Bank-Broker Proposal.
Securities Law Clinic Supports Asset Custody RuleThe Cornell Securities Law Clinic filed a Comment Letter supporting an SEC proposal on custody of investor assets.
Securities Law Clinic Supports Suitability RuleCornell Securities Law Clinic files Comment Letter in support of expanded "suitability" rule.
