Service-Oriented Learning
Externships
Securities Arbitration
Practicum
Public Brochure
(PDF)
Practicums Receive Continued Funding»
Duquesne University
School of Law, with the assistance and support
of the Securities and Exchange Commission and
the Pennsylvania Securities Commission, has created
a Securities Arbitration Practicum.
The Practicum's
Dispute Resolution Service provides free legal
representation to small investors who cannot
afford legal assistance in resolving disputes
with investment professionals or whose claims
are so small that it would not be feasible to
obtain legal counsel.
This program represents investors
through all phases of the securities complaint
process up to and including representing complainants
before NASD arbitration panels and when necessary
state and federal court proceedings. Although
the clinic was started in response to concerns
about the significant elderly population in Western
Pennsylvania, the program is available to all
eligible investors regardless of age.
Student Requirements
The practicum is offered as
a year-long, three-credit course (1 academic
credit, 2 clinical credits). Students receive
basic training, through reading and lectures,
of the typical kinds of broker-dealer fraud
as well as training in trial advocacy, client
interviewing, counseling, and negotiations.
The seminars are conducted by faculty, private
practitioners, SEC attorneys, and Self-Regulatory
Organizations staff. The students also work on
individual cases with their supervising attorney
to assist the small investor through the securities
complaint and arbitration process.
Client Eligibility
Requirements
- Household income
cannot exceed $75,000 per year
- Securities claim cannot
exceed $50,000
- Preference is
given to senior citizens and residents of Pennsylvania
Faculty and Attorneys
Alice
L. Stewart, Esquire
Director
Robert Morris College, BS
Duquesne University, JD
Ronald J. Ricci, Esquire
Professor of Law
Duquesne University, BS, JD
S. Michael Streib, Esquire
Professor of Law
Ursinus College, BA
University of Pittsburgh, MBA
Duquesne University, JD, CPA
Sandy B. Garfinkel, Esquire
Eckert, Seamans, Cherin & Mellott, LLC
Supervising Attorney
Emory University, BA
Duquesne University, JD
Scott Lane, Esquire
Edgar Snyder & Associates, LLC
Supervising Attorney
James Madison University, BA
West Virginia University, JD
Related Links
Pennsylvania Securities Commission Annual Report 2006
Contact Information
The Securities Arbitration
Practicum
Duquesne University School of Law
600 Forbes Avenue
Pittsburgh, PA 15282
phone: 412.396.6288 or 412.396.5877
fax: 412.396.1814
email: stewarta@duq.edu
|
