GSU Students: Clinic Applications due Today

Investor Advocacy Clinic ShootTo Apply.  GSU College of Law students interested in our Spring 2016 Investor Advocacy Clinic course should submit an application online.  Applications and all supporting materials are due no later than September 25, 2015 at 5:00 p.m.  Incomplete or late applications will not be considered, so please be sure to carefully read all directions and submit the necessary supporting materials.

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FINRA’s Military Spouse Fellowship A Success

By Jason Robinson, Fall 2015 Student Intern

FINRA Military Spouse LogoThe FINRA Foundation Military Spouse Fellowship program started in 2006. Since then 1,360 fellowships have been awarded to military spouses. Each fellowship covers the costs associated with AFC (Accredited Financial Counselor) training and testing. Fellows commit to completing their courses and working in the financial counseling field serving their communities for up to two years. Continue reading

PAUSE Before You Invest: The SEC Publishes a List of Unregistered Soliciting Entities that Claim to be Registered

By Christopher Pugh, Fall 2015 Intern

Each year the SEC receives complaints from investors and regulatory bodies about solicitations promoting investments that are supposedly endorsed by U.S. governmental agencies or registered with these agencies when they are not. Whether or not a particular investment entity is registered with the SEC is significant because registration means that the investment entity has made itself available for SEC oversight and regulation. Making a false claim of registration with a governmental agency can make a fraudulent scheme seem like a legitimate investment to the unsuspecting investor.

To combat fraud, the SEC is publishing a list of all the unregistered soliciting entities that it has investigated in review of these complaints. The list is called the Public Alert: Unregistered Soliciting Entities or PAUSE. Of course the list does not contain the name of every fraudulent unregistered entity, only the entities the SEC has received complaints about. To use PAUSE, investors should follow the link and use the alphabetical search feature to search for the name of the investment entity they are considering. If the relevant entity’s name appears on the PAUSE list, then that entity is not registered with the SEC, and the SEC has received a complaint concerning this entity.

In an effort to thwart even the diligent investor, some of these fraudulent entities will use the same name as a reputable and registered firm. To combat this, the SEC also publishes a list of Impersonators of Genuine Firms. Of course, if the investor finds the name of the entity they are researching on this list, they must then determine if they are dealing with the real registered firm or the unregistered impersonator.

For more information on how investors can protect themselves from fraud, visit the SEC’s Investor.gov website.

What’s in a Name? : Designations Used by Financial Professionals May Not Mean as Much as You Think

By Christopher Pugh, Fall 2015 Intern

Some financial professionals use designations such as “senior specialist” or “retirement advisor” to imply that they are experts at helping senior citizens with their investment decisions. While these professionals may be experts at helping seniors with investments, the designations they are using to market themselves are not evidence of their expertise. The Securities Exchange Commission and FINRA do not endorse “senior specialist” or “retirement advisor” designations. When an investor sees these designations after a financial professional’s name, they must keep in mind that these designations can be given by many different professional organizations that may sometimes require very little effort or experience to receive the designation. Continue reading

GSU Students: Interested in the Clinic? Apply today.

sandy bestTo Apply.  GSU College of Law students interested in our Spring 2016 Investor Advocacy Clinic course should submit an application online.  Applications and all supporting materials are due no later than September 25, 2015 at 5:00 p.m.  Incomplete or late applications will not be considered, so please be sure to carefully read all directions and submit the necessary supporting materials.

If you are interested in taking the Business Arbitration Practicum in spring 2016 so you can participate in the fall 2016 Investor Advocacy Clinic, please email Professor Iannarone before September 25 at 5:00 p.m.

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GSU Students: Clinical Center Open House Today

Join the Investor Advocacy Clinic for a Clinical Center Open House today, from 2:00-5:00 p.m.  Tour the space, meet our students and learn more about Georgia State Law’s clinical programs.  Investor Advocacy Clinic students and faculty will be on hand to answer questions and show you around the space.

GSU Students: Experential Course Information Fair Today

2mmpresentationAre you interested in learning more about the Investor Advocacy Clinic?  Be sure to come meet with us during the during the Experiential Course Information Fair today at 12:00 p.m. or 5:00 p.m. in the lower level lobby space.  Clinic representatives will be on hand to answer your questions.