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
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 ...
SEC Halts Scheme Targeting Seniors at Free LunchesSEC charges promoter and brokers in real estate investment scheme targeting seniors at free lunch seminars ...
Trading Suspend for CorporationSEC Suspends Trading in the Securities of Sun Sports and Entertainment Corporation ...
SEC Charges HomePals for Ponzi SchemeSEC charges HomePals with operating a Ponzi scheme and affinity fraud targeting Haitian-Americans ...
SEC Shuts Down $40 Million Fraud SchemeSEC shuts down $40 million fraud scheme of Illinois money manager William A. Huber ...
FINRA Warns of "Phishing" SchemeFINRA Warns Public of Scam Using Fake FINRA Emails in "Phishing" Scheme ...
Defendants Ordered to Pay Investors BackCourt Orders Defendants in an Illegal Foreign Currency Scheme to Pay Investors Back . . .
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.
Securities Law Clinic Student Argues AppealCornell Securities Law Clinic student Seth Nadler '10 argues before California Court of Appeal.
Securities Law Clinic Supports Expanded DisclosureCornell Securities Law Clinic files Comment Letter supporting FINRA's expanded customer complaint reporting requirements.
Securities Law Clinic Objects To Discovery ChangesCornell Securities Law Clinic files objection with SEC to proposed changes in arbitration discovery rules.
