University of Miami School of Law CourseLink Course Description - Online System
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Fall 2019
LAW793  AS  INVESTOR RIGHTS CLINIC

Course Description
Please see link below.
http://www.law.miami.edu/clinics/?op=0

Course Schedule
Dates Day Time Room
08-13-2019 - 11-21-2019   TR  3:30 PM-5:20 PM F300

Course Frequency
This course is usually offered every semester

Course Information

Credits: 6
Pass/Fail Option: No
Prerequisite:
Grading: Graded
Method of Evaluation:
Graduation Requirements Fulfilled By Course:
Skills Requirement
Writing Requirement
Special Attributes: None
Course Delivery:

Special Restrictions:
Law Track(s):
Business & Taxation - Specialized
Government & Regulation - Related
Litigation - Related
Bar Subject(s):
NEW YORK SKILLS
Concentration(s):
Litigation & Dispute Resolution (Concentration)   More information
Social Justice & Public Interest (Concentration)   More information
Course Book(s):
Textbook Required:
No  
Additional Materials:
All materials will be provided via TWEN.  
First Class Assignment(s):
  • Assignment: Assigned reading: Articles: • Jill I. Gross, The Improbable Birth and Conceivable Death of the Securities Arbitration Clinic, 15 Cardozo J. Conflict Resol. 597 (2014). (Available on TWEN) • Helaine Olen, The Guardian, “Whose side is your financial adviser on, anyway?” (available at: http://www.theguardian.com/money/us-money- blog/2013/jul/16/financial-advisor-fiduciary-help-consumers • Tara Siegel Bernard, S.E.C. Adopts New Broker Rules That Consumer Advocates Say Are Toothless (June 5, 2019) (available at: https://www.nytimes.com/2019/06/05/your-money/sec-investment-brokers-fiduciary-duty.html). (Available on TWEN). • Andrew Welsch, SEC Passes Regulation Best Interest, But Fiduciary Rules Could Make a Comeback (June 5, 2019) (available at: https://www.financial-planning.com/news/sec-passes-regulation-best-interest-but-fiduciary-rules-could-make-a-comeback). (Available on TWEN) • Arthur B. Laby, Fiduciary Obligations of Broker-Dealers, 55 Villanova L. Rev. 701 (2010), Only pages 716-726 are required. (Available on TWEN) • Federal Arbitration Act, Title IX, Sections 2, 9, 10-11. (Available on TWEN) • Case (Available on TWEN): Shearson/American Express v. McMahon, 482 US 220 (1987) • Bryan Garner, Garner’s Modern American Usage (2nd ed. 2003) (entry on usage of “client. A. And customer”) (Available on TWEN) • Student Manual (available on TWEN), please read it in its entirety. Please give particular attention to the following Appendices to the Manual: 1. Telephone Intake Form (Appendix N) 2. Investigate and Advise Agreement (Appendix J) 3. Retainer Agreement (Appendix K) • Financial Industry Regulatory Authority (FINRA) website - www.finra.org, click on “Arbitration and Mediation” Link. You should start looking around the website for useful information regarding the arbitration process, especially the Code of Arbitration Procedure for Customer Disputes Recommended Reading: • Doss & Frankowski, Chapters 1-4

    Additional Information:
    Please bring completed forms which will be provided to you by 8/1.
      

 
Professor(s)

VERGES, TERESA


Biography
Contact Information:
Email: tverges@law.miami.edu
Phone: (305)284-8548
Office: A312C

EICHHORN, SCOTT


Biography
Contact Information:
Email: seichhorn@law.miami.edu