By: Jason Robinson, Fall 2015 Student Intern
Over the past summer I was fortunate to have the opportunity to continue my work in the clinic as a Graduate Research Assistant. My primary focus was to serve the clinic’s clients. I worked on preexisting cases that carried over into the summer and fostered relationships with our new clients. My work included filing two statements of claim with the Financial Industry Regulatory Authority (FINRA).
Beyond client work, I fulfilled the clinic’s other main objective of investor education. Specifically, I published the following five blog posts: Alert Investor Magazine, Investor Alert: Automated Investment Tools, SEC Files Complaint Against Alleged Ponzi-Scheme Fraudster, FINRA Investor Alert on Transfer of Brokerage Account Assets Upon Death, and FINRA Investor Alert on Bond Liquidity.
Lastly, I drafted and submitted a comment letter in response to FINRA proposed rule change 2015-009. Before a proposed rule or rule change becomes effective FIRNA accepts comments from the public concerning the change. FINRA then reads and responds to all comment letters before implementing the rule. The text of my proposed rule change can be found here, and FINRA’s response to my letter as well as other comments can be found here.
During the fall semester I will continue my work in the clinic as a student intern in the Investor Advocacy Clinic II course. I look forward to serving and educating small investors while gaining valuable experience in the process.