Representing Investors in the fight against investment fraud and stockbroker fraud
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 17th consecutive year that Mr. Tepper has received this prestigious award. Investment Fraud Recovery
Attorney Mark A. Tepper’s legal practice in Fort Lauderdale, Florida, is devoted to fighting to recover financial losses that investors, and particularly retirees and the elderly, have suffered. These cases include investment fraud, such as unsuitable recommendations, failure to supervise, breach of the duty of fair dealing, Ponzi schemes, and other acts stockbroker fraud.
Click the video player below to view Attorney Mark A. Tepper discussing the impact of stock fraud on elderly investors.
Protecting Elderly Clients: Attorney Mark A. Tepper discusses.
Attorney Mark A. Tepper is a Fort Lauderdale Florida based Attorney who specializes in representing investors seeking recovery from losses suffered. He has earned the reputation of “Investor Advocate,” a record of success well-reflected in the number of his clients’ claims that have been upheld by FINRA arbitrators against well-known financial services companies including HSBC, Bank of America/Merrill Lynch, Morgan Stanley, Raymond James, Smith Barney, UBS, Wells Fargo, Am Trust and Charles Schwab.
Click Here to request a free initial legal consultation with Attorney Mark A. Tepper.
Training Arbitrators and State Securities Examiners
He conducted suitability training for state securities examiners from around the country, including Florida, the District of Columbia, Canada, Mexico and Puerto Rico, during a Broker/Dealer Conference organized by North American Securities Administrators Association (NASAA). And, during a NASAA Investor Education Training Seminar held in Ft. Lauderdale , Mr. Tepper shared his expertise on a panel that examined “What Today’s Investors are Facing.”
While conducting a training and education course on suitability and supervision for State Securities Regulators in Texas, Mr. Tepper provided a unique viewpoint as a former state regulator whose private practice includes representing the interests of investors who may have been victims of securities fraud in criminal and civil actions.
Mr. Tepper has consulted for the Office of the Kansas Securities Commissioner on pending criminal enforcement matters, administrative/civil investigations, and litigation cases.
Mr. Tepper was invited by the Florida Office of Financial Regulation (OFR), to share his expertise in representing elderly investors who have been defrauded. Titled “Interviewing Elderly Investors,” his well-received presentation was made to Florida State Securities Examiners and attorneys attending a NASAA conference. (View the letter of appreciation from the Office of Financial Regulation).
Click Here to request more information on booking Attorney Mark A. Tepper for your group or organization.
Other Speaking Engagements
Other speaking engagements include the Planned Giving Council of Nova Southeastern University, and the Speaker’s Bureau of the Florida Bar. Mr. Tepper has been a panel moderator for PIABA on the following topics: A Primer on Securities Mediation; (PIABA 11th Annual Meeting) and on Mediation Strategy (PIABA 12th Annual Meeting).
He was Author and Presenter: CLE Materials: Supervision in the Securities Industry (PIABA 11th Annual Meeting) and was the panel moderator at the PIABA 14th Annual Meeting on the topic of “The Hearing from the Arbitrator’s Perspective.”
Mr. Tepper has addressed the Certified Financial Planners, Gold Coast Chapter, on a number of compelling topics including:
- How to Recognize Securities Fraud and Protect Yourself
He has addressed the Florida Society of Enrolled Agents and the Florida Accountants Society, Broward Chapter, on:
- How to Detect Securities Fraud from Tax Returns
He has presented his insights to the Broward Chapter of the Paralegal Association of Florida, on:
- How to identify Ponzi schemes and how they cheat investors.
Mr. Tepper also discusses how professionals can recognize fraud in a client’s investment account.
We’re currently planning our Speaking Engagement Calendar for 2016. Please Click Here to request a presentation by Attorney Mark Tepper.
Awards and other Career highlights
He has also conducted suitability training for NASAA. During a NASAA Enforcement Meeting in Orlando, Florida, Mr. Tepper presented his study which provided some of the first evidence establishing how arbitration can sometimes be unfair to public customers.
This study of Florida Arbitration Awards, conducted by Mr. Tepper, was published in the PIABA Bar Journal.
Mr. Tepper served for six years on the Board of Directors for the Public Investors Arbitration Bar Association (PIABA), the international bar association whose members represent investors in disputes with the securities industry. He has served on numerous PIABA committees and, during a PIABA Annual Conference, interviewed FINRA’s President on changes and procedures at FINRA.
As a former Chairman of PIABA’s NASAA Committee, Mr. Tepper participated in an arbitration forum in New York, sponsored by NASAA, where he presented evidence from a defrauded investor illustrating how the arbitration system can fail.
Public Service: Mr Tepper is a former Member of the Planned Giving Council of Nova Southeastern University.
Education | Professional Affiliations | Memberships
Cornell Law School, (J.D.) (1972)
And his undergraduate degree from:
The State University of New York at Stony Brook, B.A. (1969).
He was admitted to practice in New York State in 1973, before the United States District Court, Southern District of New York in 1974, in California in 1976, Florida in 1989, before the United States Supreme Court in 1997 and the United States Court of Appeals for the Second Circuit in 2004.
Current Bar Memberships include The Florida Bar, The New York Bar, and The California Bar. Mr. Tepper is also a Member, Public Investors Arbitration Bar Association and has recently served as an Arbitrator for the National Arbitration and Mediation, Inc. (NAM).
Published Legal Work
- Blame-The-Victim is Not a Defense to Allegations of Unsuitable Recommendations
- Statutes of Limitation in FINRA Arbitration are a Square Peg in a Round Hole
- Goliath Refuses to Yield – regarding Merrill Lynch and Confidentiality Orders during the Discovery Process
- Brokerage Settlement Agreements – Ethical or Unethical?
- Survey Says – SRO Arbitration Unfair
- Attorney Issued Discovery Subpoenas in Arbitration are an Abuse of Process
- Brokerage Firms Compliance Manuals not Confidential
- SRO Arbitration – Is it Fair to Investors
- Joint Power of Attorney Revoked by Operation of Law upon Death
- Another Serpent on Wall Street – The WorldCom Fraud
- Judge Pollack’s Merrill Lynch Research – Analyst Decisions – Lost in [Info]Space
- NASD 10106 – A Toothless Tiger or Protection From Improper Lawsuits by NASD Members
- Lessons Learned in the Labyrinth of Loss Causation – Finding Your Way in Infospace
- The Rules are Not Discounted for the Discounter