38 Years of Investor Representation Where Experience Matters Most

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Stockbroker fraud Attorney Mark A. Tepper was Chief Trial Lawyer at the New York Attorney General’s Bureau of Investor Protection and Securities.. Read More

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Representing Investors


Fort Lauderdale securities fraud lawyer, Mark A. Tepper is highly rated by his peers among the best lawyers in Ft. Lauderdale, Florida and indeed, the best lawyers in the country.

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A member of the Florida, New York and California Bars, Mr. Tepper has achieved the AV Preeminent® Rating, the highest rating of lawyers by their peers in the Martindale-Hubbell Law Directory. This is the 15th consecutive year that Mr. Tepper has received this prestigious award.

Can you sue your broker?

Are you looking for an attorney to sue your broker or financial advisor for recommending an unsuitable investment?

As the former Assistant Attorney General and Chief Trial Counsel at the Bureau of Investor Protection and Securities for the New York Attorney General, Mr. Tepper represents the interests of individual investors for more than 35 years.

FINRA arbitrators have upheld claims filed by Mr. Tepper against many brokerage firms and the Florida securities fraud attorney has represented hundreds of clients, even taking on giants such as Bank of America, Charles Schwab, Merrill Lynch, Morgan Stanley, Raymond James, Smith Barney, UBS and Wells Fargo.

“As an attorney for investors I enjoy the satisfaction of doing the right thing. I meet people whose lives have been dramatically changed because of broker misconduct; and a successful claim and recovery can give them back their lives. That’s my reason for doing what I do.” – Securities Fraud Attorney Mark A. Tepper.

Seniors, who frequently are on fixed incomes and depend heavily on investments, can become targets for aggressive money managers promising higher returns through alternative investments.

“Investors should be very wary of aggressive financial advisors who promise stellar returns on investments, while pushing high-fee financial products where commissions and excessive trading can eventually drain a portfolio,” Mr. Tepper advises.

If a broker does not tell you the full story, gives false information or recommends something that isn’t right for you, then that could be misconduct. As a consumer, be alert for and recognize “red flags,” such as unexpected losses in your account. Ask your broker how he or she is compensated, and what are the costs and risks associated with your broker’s recommendations.

Breitburn Energy Partners LP

For example, investors who were inappropriately recommended oil and gas investments like Breitburn Energy Partners LP may be eligible to file claims for recovery against their broker.

Don’t be afraid to ask questions or to expect answers. If the given explanation doesn’t make sense to you, get another opinion.

If you are seeking investment fraud recovery and believe you are a victim of stockbroker fraud, for a free evaluation of your claim in order to make an informed decision on whether you can sue your broker click on the button below:
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ATTORNEY FOR INVESTORS

Securities Fraud lawyer Mark A. Tepper at the Mark A. Tepper law firm is devoted exclusively to investment fraud recovery, and the representation of clients who are individual investors in the financial markets and victims of stock or investor fraud. The firm also shares its skills, honed over 38 years in the practice of securities law, to present legal guidance during training and education programs organized by NASAA, FINRA [fka NASD], or State Securities Regulators.
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Securities Fraud Attorney Mark Tepper fields a question about investment fraud recovery

Attorney for Investors Mark  A. Tepper fields a question on Securities Law

article about investment fraud recovery and securities fraud attorney Mark A. Tepper

The Government Accountability Office reports that seniors lose several billion dollars a year to financial fraud.

Investment Fraud Recovery

At the Mark A. Tepper Law firm, we are dedicated to investment fraud recovery and protecting the rights of our clients who have been victims of securities or stockbroker fraud. We fight for the recovery of losses they have suffered, often at a time in their lives when the preservation of savings and income is so important. Many of our clients are elderly, in retirement, and relying on recommendations from their brokers that do not place their irreplaceable savings at risk. 


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Representing Investor Clients: Attorney for investors Mark Tepper talks with The Sun Sentinel.

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Retired Police Captain

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“I could not have asked for a better outcome. We had a lot of confidence in Attorney Mark Tepper and his  paralegal staff.   They were very detailed, and essentially, I was able to recover from a disaster.”

Disciplinary and Other Actions Announced by the Financial Industry Regulatory Authority (FINRA)


FINRA disciplinary action has been taken against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).

FINRA disciplinary action – Procedures

FINRA disciplinary action is taken through two separate procedures: a settlement or a formal complaint. With a settlement, a firm or broker can opt to settle with FINRA and sign an Accept, Waiver and Consent form (AWC). A formal complaint is filed with and heard before FINRA’s Office of Hearing Officers. The office assigns to the case a professional hearing officer who is responsible for ensuring the complaint is resolved fairly and expeditiously. The case is heard by a three-person panel made up of the hearing officer and two industry panelists.

“FINRA disciplinary action and the FINRA misconduct disclosure process are essential to informing customers about potential problem brokers and supervision breakdowns at brokerage firms,” Attorney Mark Tepper who represents investors seeking recovery against stockbroker fraud said.

Firms Recently Disciplined by FINRA

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