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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.

 

TESTIMONIALS

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The work that you and your team have performed on my behalf is exemplary.

JT

LATEST NEWS AND ARTICLES

1788461574 Law
September 3, 2026
Texas Investment Adviser Faces Washington State Charges Over Misleading Crypto Portfolio Claims

Washington state securities regulators have charged an Austin, Texas registered investment adviser (RIA) and its founder with making misleading statements about the risks tied to one of its model portfolios, which invested heavily in crypto-backed products and volatile exchange-traded funds, according to InvestmentNews.

1788376975 Law
September 2, 2026
Lakers Owner Sells Team for Record $12.5 Billion Amid Federal Probe

Guggenheim Partners CEO Mark Walter has sold his majority stake in the Los Angeles Lakers just as federal regulators investigate potential financial improprieties at insurance and annuities companies that he owns, InvestmentNews reports.

1788292150 Law
September 1, 2026
FINRA Proposes New Rules to Fix Unpopular Arbitrator Selection Process

The Financial Industry Regulatory Authority (FINRA) wants to change how it selects arbitrators when its standard process fails to produce enough available panelists.