38 Years of Investor Representation Where Experience Matters Most

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Training State Securities 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?

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.


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