38 Years of Investor Representation Where Experience Matters Most


Speaking Engagements | Training Regulators

How Do You Recognize Securities or Stockbroker Fraud and Protect Yourself?

How Do You Detect Securities Fraud from Tax Returns?

How Would You Identify a Ponzi scheme?

How do they Cheat Investors?

Attorney Mark A Tepper speaks at NASAA

Attorney Mark A. Tepper speaks at NASAA

hese are a few of the crucial questions that Securities Attorney Mark A. Tepper addresses in presentations that he tailors specifically for every audience during training and education programs organized by NASAA, FINRA, or State Securities Regulators.  He combines wit and humor with an industry experience that is drawn from his professional experiences as a securities lawyer currently representing individual investors, and when he served as Chief Trial Counsel at the New York Attorney General’s Bureau of Investor Protection and Securities, prosecuting securities fraud cases including stockbroker fraud.

Despite heightened regulation; stockbroker fraud, investment fraud and securities fraud remain a major threat.

Nearly half of all organizations, reported that they were victims of some form of economic crime according to a PricewaterhouseCoopers’ Global Economic Crime Survey. Forty-five percent of organizations in the U.S. suffered from some type of fraud, more than the global average of 37 percent. The survey reports that the total direct losses from economic crime exceeded $4.2 billion. Losses arose from a variety of economic crimes, including asset misappropriation, accounting fraud, bribery and corruption and money laundering. Accounting fraud increased to 23% in 2014, as compared to 16% in 2011.  Bribery and corruption, at 14% in 2014, doubled the 7% of cases reported in 2011.Financial markets chart

Securities Attorney Mark A. Tepper brings his legal experience as an attorney representing investors against stockbroker fraud, combining it with his work as a trainer, educator, humorist, motivator and consultant to deliver a unique perspective to his professional speaking engagements.

A former Assistant Attorney General and the Chief Trial Counsel at the New York Attorney General’s Bureau of Investor Protection and Securities, Mr. Tepper has prosecuted a wide variety of stock market fraudsters.

Training Arbitrators and State Securities Examiners

In addition to protecting the interests of investors who have lost money from stockbroker or investment fraud, Mr. Tepper’s legal work extends to assisting training and education programs organized by State Securities Legislators and Professional Associations. This has included Arbitrator training for the National Association of Securities Dealers (NASD), now known as the Financial Industry Regulatory Authority (FINRA).

He conducted suitability training for state securities examiners 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.”

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

Attorney Mark A. Tepper makes a case

Mr. Tepper continues to participate as an invited Moot Court Judge at various moot court competitions. Other speaking engagements include 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)

  • Mediation Strategy (PIABA 12th Annual Meeting).

He was also Author and Presenter on the following PIABA meetings:

  • CLE Materials: Supervision in the Securities Industry  (PIABA 11th Annual Meeting)

He was also panel moderator at the PIABA 14th Annual Meeting on the following topic:

  •  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.

An appreciative audience for Attorney Mark Tepper

Mr. Tepper also discusses how professionals can recognize fraud in a client’s investment account. He makes audio-visual presentations to a wide variety of professional groups such as Financial Planners, Individual Investment Groups, and Business Organizations in connection with a variety of topics concerning Securities Fraud. Mr. Tepper describes ways in which the public is cheated, and educates his audiences on how to protect themselves from fraudulent practices and how professionals can recognize fraud in a client’s investment account.

Presentations are tailored to the needs of each group, depending on time requirements. Question and answer sessions follow each presentation. Mr. Tepper has also been the featured speaker at the Estate Planning Council, Florida Accountants’ Society, South Florida Institute of Financial Planners, Florida Society of Enrolled Agents, and several Chambers of Commerce.

Presentations also include valuable insights on the following topics:

  • How Unsuspecting Investors are Cheated and What to Do About It

  • How the Small Businessman is a Target of Securities Fraud.

Organizations of at least 50 members, located in Miami-Dade, Broward or Palm Beach County, can invite Mr. Tepper as a guest speaker.

Planning for Mr. Tepper’s Speaking Engagement Calendar for 2015 is currently underway.
Click Here  to request a presentation by Attorney Mark A. Tepper.