Investor Protection Clinic

Student Blog

  • Mediation: What Is It and How to Prepare

    May 18, 2018 By Paige Foley
    Mediation is a monitored negotiation facilitated by a neutral third-party. It is a dispute resolution method available to investors. If the other side agrees, you can try mediation before ever filing a Statement of Claim and at any point afterward. Mediation differs from arbitration because the mediator does not make the decisions. Instead, the...
  • Mediation Tips and Tricks

    May 18, 2018 By Paige Foley
    Mediations happen at a predetermined location. This is anywhere that the parties agree to meet. It could be an attorney’s office, a suite of rooms rented at a hotel, or even the mediator’s office. Securities disputes may be a bit different than other kinds of mediations. Usually the two parties are put into separate rooms, in order to...
  • Fiduciary Duties of Investment Advisers and Stockbrokers in Nevada

    May 07, 2018 By Jacob Crawley
    Does your Financial Planner have a legal duty to act in your best interests? Recent research conducted by the RAND Corporation found that the average American does not understand how our complex financial system operates. For example, RAND found that most Americans do not understand the difference between a registered investment adviser and a...
  • Las Vegas Survivors Project

    May 07, 2018 By Jacob Crawley
    What is the Las Vegas Survivors Project? In response to the October 1, 2017 shooting in Las Vegas, Nevada, individuals and entities across the nation contributed more than $31.4 million to the Las Vegas Victims’ Fund (“Fund”). Beginning March 5, 2018, the Fund began distributing funds to approved applicants. These distributions...
  • Investing with Robo-Advisors

    April 20, 2018 By Kristopher Kalkowski
    When it comes to opening an investment account, you now have more options than you think—options that don’t even include an actual person handling your money. That is, investors today can turn to automated investment advice companies, often called “robo-advisors.” The robo-advisory route has significant advantages over...
  • Evaluating REITs: What is the difference and how do I decide?

    April 20, 2018 By Eric Duhon
    Real-estate Investment Trusts, or “REITs,” can range from sensible offerings to a quazi-Ponzi schemes. Investors should do their research to know what they are buying. This post aims to explain the basics about how a REIT works and how to evaluate whether a particular REIT makes sense for your situation. What is a REIT? The SEC...
  • Watch Out for "Reverse Churning"

    April 20, 2018 By Garrett Logan
    Investors should be careful if a broker asks them to trade their account too often. The term “churning” describes misconduct when a broker-dealer pushes an investor to make excessive purchases and sales when the transactions offer little to no utility to the investor. The key to “churning” is excessive trading conducted to...
  • Avoiding an Unpaid Arbitration Claim: The Investor’s Guide

    April 15, 2018 By Kristopher Kalkowski
    The Financial Industry Regulatory Authority (“FINRA”) operates the largest securities arbitration forum in the United States. The forum provides a neutral, efficient, and fair setting for investors to resolve disputes with securities firms and individual brokers. But, as with other dispute resolution forums, FINRA arbitration has its...
  • More Money, More Problems: Avoiding the Riches to Rags Hall of Fame

    April 08, 2018 By Garrett Logan
    Rising television contract deals have resulted in salaries for professional athletes that are nearly seven-times larger than they were twenty years ago. According to the NBA Players’ Association, its average player salary has grown from just over $1 million in the early 1990s, to nearly $7 million in 2017. Despite the NBA requiring entrants...
  • Check Yourself and Protect Your Wealth

    March 28, 2018 By Eric Duhon
    Two friends are walking together when one asks, “Do you want to go out to eat at that Thai place around the corner?” —“Oh yeah! I saw that place the other day. Will you look up reviews?” “Sure,” says the first, as he pulls out his smart phone. “Ooh, 4.5 stars with 137 reviews. It looks like a great...