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?
These are a few of the crucial questions that Securities Attorney Mark A. Tepper addresses in presentations that he tailors specifically for each audience during training and education programs organized by NASAA, FINRA, or State Securities Regulators.
Mr. Tepper combines wit and humor with more than 40 years of impeccable professional experience as a securities lawyer. Currently he represents individual investors. He has held many high-level roles that have refined his experience including having served as Chief Trial Counsel at the New York Attorney General’s Bureau of Investor Protection and Securities where he prosecuted securities fraud cases including stockbroker fraud.
Despite heightened regulation; stockbroker fraud, investment fraud and securities fraud remain a major threat.

More than half of all U.S. organizations, reported that they were victims of some form of economic crime according to a PricewaterhouseCoopers’ Global Economic Crime Survey. Fifty-three percent of organizations surveyed in the U.S. by PWC reported suffering from some type of fraud or economic crime, more than the global average of 49 percent. Sixty-four percent of global respondents said losses due directly to their most disruptive fraud could each reach US$1 million. The survey reports that 52% of all frauds are perpetrated by people inside the organisation. Losses arose from a variety of economic crimes, including asset misappropriation, accounting fraud, bribery and corruption and money laundering.

Training Arbitrators and State Securities Examiners

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.

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).

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