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Pepperdine | Caruso School of Law

Investor Advocacy Clinic 2018

The Investor Advocacy Clinic was established with a grant from the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation. The Investor Advocacy Clinic law students, under supervision of Director Robert A. Uhl Esq., handle arbitrations and mediations before FINRA Dispute Resolution on behalf of California investors who have claims less than $100,000, household incomes of less than $100,000 and who have arbitral disputes with their brokers and/or brokerage firms. The Investor Advocacy Clinic is the only FINRA funded Clinic to win every arbitration case tried by the Clinic and no FINRA funded Clinic has had more wins or recovered more money for its clients. In addition, Clinic students have had several of their required research papers published.

In the Clinic, students learn critical lawyering skills generally not taught in purely doctrinal courses. For example, students interview potential clients, draft statements of claim, conduct discovery, prepare legal memoranda, work with experts who serve as financial consultants, and conduct arbitrations and mediations before FINRA Dispute Resolution. The Investor Advocacy Clinic's California Bar certified law students are listed as the investor's counsel on the FINRA Arbitration Awards, which are available to the public.

The Investor Advocacy Clinic operates on a fall semester through spring semester cycle. Students will be involved in real arbitration cases and are encourages, but not required, to stay involved during the summer. Clinic students will be required to write a research paper during their one-year enrollment in the Clinic. Students who maintain a "B"average and who have taken or are enrolled in an Evidence class may apply at the end of their first or second law school year. A maximum of five students will be selected for the Investor Advocacy Clinic. As part of the application process, students will submit a one page double-spaced essay explaining why they want to be admitted into the Investor Advocacy Clinic.

The fall semester Clinic is a three credit Clinic and meets Tuesdays from 4-6pm. The spring Clinic is a two credit Clinic and meets Tuesdays from 4-6pm. During the fall semester, Director/Professor Uhl will teach securities arbitration law in order to aid the students in representing the Clinic's clients in arbitrations. Students will not receive credit for either semester unless the full two semester commitment is fulfilled.

Application Deadline for the Fall 2018 Semester - June 4, 2018

Please direct inquiries to Professor Robert Uhl at robertuhlesq@gmail.com