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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.

 

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LATEST NEWS AND ARTICLES

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September 24, 2026
FINRA Proposes Expanded Fraud Protections and Trusted Contact Flexibility

The Financial Industry Regulatory Authority (FINRA) has sent three proposed rules to the Securities and Exchange Commission (SEC) for approval.

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SEC Warns Investors About Pre-IPO Investment Scams

The SEC's Office of Investor Education and Advocacy (OIEA) has issued an Investor Alert warning investors about scams that falsely offer opportunities to purchase "pre-IPO" shares of companies.

1790092133 Law
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Wells Fargo Advisors Continue Manual Trading Amid Vendor Disruption

Wells Fargo Advisors brokers continued placing trading orders by phone and email as a disruption involving an outside vendor persisted for a second week.