Investor Advocacy Clinic Comments on FINRA Regulatory Notice 17-34 Concerning Non Attorney Representatives in FINRA Proceedings

IAC Professor Nicole Iannarone filed a comment in response to FINRA Regulatory Notice 17-34, seeking information non-attorney representatives (NARs) representing investors in FINRA proceedings, earlier this week.  In her comment, available here, Professor Iannarone described the difficulties regular investors face in finding legal assistance in FINRA proceedings and recommended funding to sustain and grow the investor advocacy clinic program to ensure investors have high quality representation in FINRA claims by licensed attorneys.  Professor Iannarone further discussed protections that could be put into place to ensure all investors have access to justice even if their only option for representation is through NARs.