Students will be introduced to the fundamental principles of securities arbitration/mediation primarily initiated by or against investors of modest means before either the New York Stock Exchange or the National Association of Securities Dealers, now combined into FINRA. Students will also be instructed with respect to the principles of securities regulations relevant to typical investor claims against broker/dealers. Students (in teams of two) will be assigned to cases and will serve as advocates for the clients. Such assignments will include case intake, case development, research of legal issues, preparation of arbitration filings, and representation of the clients before the arbitration panel hearing each claim or at a mediation. The clinic is a unique opportunity to have a hands-on arbitration and/or mediation experience. Either Business Organization or Securities Regulations is a co- or prerequisite. A one-page Statement of Interest will be required in addition to the usual clinic submissions for consideration for enrollment.