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.
Southwestern Medical Penny Stock FraudJudgment Entered Against Southwestern Medical Solutions, Inc. for false press releases regarding FDA approval ...
Subprime Mortgages Used in Securities Sales FraudBrokers sold variable life policies using subprime mortgage refinancing ...
NASAA Issues Advisory On Market CrisisNorth American Securities Administrators Assoc. cautions against making uninformed, sudden decisions amid Wall Street crisis.
South Florida Ponzi Scheme ClosedAnthony A. James charged with misappropriating at least $5.2 million from at least 44 clients to fund his lavish lifestyle.
eCarfly, Inc. (Market 99, Ltd) Scheme ExposedComplaint Names Nine in Fraudulent "Pump and Dump" Scheme involving eCarfly, Inc., now known as Market 99, Ltd.
CFTC Sues Phoenix Diversified Investment Corp.CFTC alleges Boca Raton, Florida resident Michael A. Meisner misappropriated commodity pool participants’ funds ...
Chicago Broker Barred For Trade-ReallocationMarc Willis, of Chicago, Illinois, found guilty of after-the-fact reallocation of favorable trades ...
DeWitt, NY, Broker Charged with TheftDavid Rozzano of DeWitt, NY office of MML Investor Services, used customer funds for own benefit ...
Securities Law Clinic Comments on ERISA ProposalsCornell Securities Law Clinic Comments on ERISA Investment Advisor Rule Proposals.
Clinic Seeks Changes to Variable Ins. ProposalCornell Securities Law Clinic files Comment Letter on FINRA's proposed guidance to members on variable insurance products.
Securities Law Clinic Supports EIA Rule ProposalCornell Securities Law Clinic supports SEC proposal to subject Equity Indexed Annuities to securities laws ...
Cornell Securities Law Clinic to Hold CLE SeminarSeminar on Securities Law & Investment Fraud in conjunction with Tompkins County Bar Association ...
Securities Law Clinic Comments on SEC Form ADVSecurities Law Clinic requests that SEC require additional disclosures of investment advisers ...
SLC Students Present Fraud Prevention ProgramSix Securities Law Clinic students hold investment fraud prevention program at Cornell Cooperative Extension ...
PLI to Publish Clinic Comments on Rule ProposalPracticing Law Institute to publish Securities Law Clinic Comment Letter on FINRA rule proposal ...
Clinic Opposes Post-Award Submission RuleThe Securities Law Clinic has filed a Comment Letter opposing a FINRA proposal to allow post-award ...
