Securities Litigation and Arbitration

Learn how to represent clients effectively while working on compelling and complex cases.

In the Securities Litigation and Arbitration Clinic, students represent investors by bringing claims against brokers in New York City, the world's foremost financial center.

The clinic provides legal representation to investors who have limited resources.  Cases are typically brought against brokers and their firms for engaging in unsuitable investment practices, trading excessively to earn commissions, making material representations, and failing to supervise. In many cases, students advocate for people whose claims represent their life savings.

Students are responsible for: conducting client interviews, fact investigation, discovery, and settlement negotiations; working with expert witnesses; making opening statements and closing arguments; conducting direct and cross  examinations of witnesses at arbitrations; communicating with arbitrators orally and in writing; and advocating at mediations.

By the end of the semester, students leave the clinic having gained tremendous practical experience, a greater understanding of securities' disputes, and an ability to make challenging strategic decisions. 

Under the close supervision of Professor Paul Radvany, a former Deputy Chief of the Criminal Division for the United States Attorney's office for the Southern District of New York, students assume direct responsibility for every stage of their client's case.