Mark A. Tepper

Mark A. Tepper

LLC Member

Mark A. Tepper is a former Assistant Attorney General and Chief Trial Counsel at the Bureau of Investor Protection and Securities for the New York Attorney General. Since then, he has devoted 35 years of his professional practice to representing investors in securities arbitration and litigation matters. The North American Securities Administrators Association (NASAA) has awarded Mark the Outstanding Service Award. He is a graduate of Cornell Law School (J.D.), and a member of the Florida, New York and California Bars. Mark’s peers have awarded him an AV Preeminent® Rating, the highest rating for lawyers in the Martindale-Hubbell Law Directory.

 

TESTIMONIALS

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It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.


 

Beth M.

LATEST NEWS AND ARTICLES

July 26, 2024
Kentucky Advisor Sues LPL Financial for Alleged Corporate Raid

A Kentucky advisor, Mark Lamkin, has filed a lawsuit against LPL Financial, claiming the independent broker-dealer orchestrated a corporate raid that resulted in the loss of his firm’s entire book of managed assets.

July 25, 2024
FINRA Plans Fee Increases Amid Rising Costs and Losses

The Financial Industry Regulatory Authority (FINRA) has announced plans to raise fees for its approximately 3,300 broker-dealer member firms. According to AdvisorHub, the self-regulator faces soaring costs, as detailed in its annual report published at the end of June.

July 24, 2024
Raymond James Settles with Oregon Over Excessive Commissions

Raymond James recently settled a case with Oregon's Division of Financial Regulation (“DFR”), agreeing to pay nearly $200,000 over allegations of charging excessive commissions to retail investors.