Applications for the FINRA Investor Advocacy Program are due by March 16, 2026, at Noon.
The Seton Hall School of Law Financial Industry Regulatory Authority Investor Advocacy Program (“FINRA “IAP”) is a live-client, retail securities arbitration clinic. Its tri-fold mandates are (1) to investigate potentially meritorious causes of action and to compassionately counsel those clients who lack cognizable claims; (2) to provide zealous advocacy for retail investors of modest means; and (3) to educate New Jersey residents regarding best practices which promote informed investing.
In an industry whose metrics of success are those which are monetized, we assess achievement against a more humane benchmark. The FINRA IAP has negotiated hundreds of thousands of dollars in settlement of retail investor disputes. But we take greater pride in knowing we have restored dignity to those who doubt the operation of a fair and orderly market.
We frequently explain the notice period which governs timely claims, , the lackof FINRA jurisdiction over non-member entities and associated persons, and the reality that mere market volatility is not actionable. Sometimes, there simply is no “there,” there.
Our student advocates orchestrate road show presentations to diverse audiences across New Jersey’s 21 counties. Through those initiatives, our student advocates acquire invaluable opportunities to hone professional presentation skills.
Just as many federal court actions resolve without recourse to a jury, settlement of investment disputes is commonplace. Where adjudication is appropriate, our student advocates will draft statements of claim, engage in the selection of neutrals, conduct discovery, and refine essential lawyering skills which include mediation and arbitration advocacy.
This full-year, 5-credit offering is available to 3L Day students and 4L Weekend students. Academic achievement is assessed against the 0.00 – 4.33 Grade Scale.
