Stockbroker Fraud Attorneys Los Angeles - Download as PDF

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					Mark W. Pugsley
SHAREHOLDER/DIRECTOR
801-323-3380 DIRECT
801-532-7543 FAX
mpugsley@rqn.com

       Mr. Pugsley is the Chair of the Securities Litigation Group at Ray Quinney & Nebeker,
       and the chair of the firm's Technology Committee. Mr. Pugsley was the Chair of the
       Securities Section of the Utah State Bar in 2006 and has been a member of the
       Advisory Board for the Utah Division of Securities. He is a founder and member of the
       Utah Securities Association.
       Mr. Pugsley is a commercial litigator who has worked on a broad range of matters,
       including securities, contract, partnership, antitrust, appellate, automobile franchise, real
       estate, intellectual property, products liability and bankruptcy disputes. He practiced for
       several years in Los Angeles, California before moving to Utah, and holds active
       licenses to practice law in both California and Utah.
       The majority of Mr. Pugsley's time is devoted to cases involving investment fraud and
       securities disputes. He handles civil litigation, regulatory investigations, FINRA
       arbitrations and receivership actions for parties on all sides of these matters. He has
       handled many securities arbitrations and frequently defends corporations, officers,
       accountants, brokerage firms and brokers in investigations, administrative actions and
       civil litigation brought by the Securities and Exchange Commission, the Utah Division of
       Securities, and the Financial Industry Regulatory Authority (FINRA, formerly NASD). He
       has been involved in internal investigations for publicly-traded companies, and advises
       companies and brokerage firms on disclosure and compliance issues. Mr. Pugsley has
       been an arbitrator with FINRA since 1999 and is also an approved arbitrator for Utah's
       Court-Annexed ADR program.
       Mr. Pugsley maintains an “AV” rating with Martindale-Hubbell, which is the highest
       rating awarded to attorneys for professional competence and ethics. Mr. Pugsley is
       listed in The Best Lawyers in America under the category of securities law, and in
       Mountain States Super Lawyers in the areas of Securities Litigation and Business
       Litigation. He has been listed by Utah Business Magazine as one of Utah’s “Legal Elite”
       in the category of Business Litigation in every year since the list's inception in 2004.
       Blog: UtahSecuritiesFraud.com
       REPRESENTATIVE SECURITIES LITIGATION


        ·   Successfully defended temporary restraining orders sought against several brokers
            who moved from one brokerage firm to Ameriprise Financial. Merrill Lynch v.
            Baxter, USDC Case no. Case No. 1:09 CV-00045 DAK and Merrill Lynch v.
            Mecham, USDC Case no. 2:09 CV-00283 BSJ.


        ·
       Represented multiple defendants in clawback lawsuits brought by the court-appointed
       receiver in Securities and Exchange Commission v. Vescor Capital Corp., et al. USDC
       Case 1:08-cv-00012-DB
        ·   Counsel to USANA in multiple class actions, including a federal case that was
            dismissed by Judge Dale A. Kimball on July 23, 2008. Ashok Kapur v. USANA
            Health Sciences, et al. USDC Case No. 2:07-CV-177. Opinion at 2008 WL
            2901705.


        ·   Successfully argued for dismissal of an administrative lawsuit filed by the Utah
            Division of Securities against a prominent Utah broker-dealer. All claims were
            dismissed by the ALJ in January of 2008.


        ·   Litigation counsel to the court-appointed receiver in the SEC enforcement action
            styled SEC v. Novus Technologies, LLC, et al., USDC Case No. 2:07-CV-235.
  ·   Representation of USA Securities, USA Commercial Mortgage Company, USA
      Capital Realty Advisors, USA Capital Diversified Trust Deed Fund, and USA
      Capital First Trust Deed Fund in multiple federal and state regulatory investigations
      and related litigation, USBC Case No. BK-S-06-10725 LBR (Nevada)


  ·   Representation of two former executives for TenFold Corporation in SEC v.
      Tenfold, USDC Case No. 2:03-CV-442. All claims were dismissed by the SEC in
      December of 2005


  ·   Representation of the Utah Educational Savings Plan Trust in an administrative
      settlement with the SEC, 1933 Act Release No. 8601, August 4, 2005, File No.
      3-12004


  ·   Representation of several defendants in litigation brought by the SEC and the
      accompanying receivership action captioned SEC v. David Wolfson, et al., USDC
      Case No. 2:03-CV-0914


  ·   Representation of several defendants in the SEC enforcement action captioned
      SEC v. Allen Wolfson, USDC Case No. 2:02-CV-1086


  ·   Representation of three former Fidelity branch managers in a joint SEC and NYSE
      investigation, and in one of the cases that went to trial before the NYSE Hearing
      Board


Education
Duke University, J.D., 1994
  ·   Duke Law Journal, Editorial Board, 1993-94
  ·   Jessup Cup International Moot Court Team, 1993
Duke University, Sanford Institute of Public Policy, M.A., Public Policy, 1994
University of Utah, B.S., Political Science, 1991


Practice Areas
Securities Litigation
Litigation
White Collar Criminal Defense and Corporate Compliance
Winter Sports Practice Group


Prior Professional Experience
Morgan Lewis & Bockius LLP
Jones, Bell, Simpson & Abbott, LLP


Admitted to Practice
Utah State and Federal Courts
California State and Federal Courts
United States Supreme Court
Fourth Circuit Court of Appeals
Professional Affiliations and Memberships
Utah State Bar
California State Bar
Federal Bar Association
American Bar Association
Salt Lake County Bar Association
Affiliated Member, National Association of Investment Professionals
Member, Compliance and Legal Division of the Securities Industry and Financial
Markets Association
Member, National Society of Compliance Professionals


Publications and Presentations
Speaker on Private Causes of Action under the Utah Uniform Securities Act, CLE
sponsored by the Securities Section of the Utah State Bar (March 2010)
Panelist at the Investment Adviser Workshop sponsored by the Utah Division of
Securities (June 2009)
Editorial: Perils of Investing with Friends and Ward Members as published in the Salt
Lake Tribune (December 2008)
Approved as a CE provider in Utah, and frequent presenter at continuing education
seminars for broker-dealers
Moderator of Panel Discussion on Regulatory Enforcement Issues at the 2006
Securities Law Workshop, sponsored by the Securities Section of the Utah State Bar
(August 2006)
Presentation: "The Regulators are Watching: How to Survive Increasing Securities
Regulation and Litigation" before the Salt Lake Estate Planning Council's 2005 Fall
Institute
Presentation: "Recent 9th and 10th Circuit Securities Decisions" at the Securities
Section's Securities Law Workshop (August 2004 and August 2005)
Presentation: "NASD Arbitration" at CLE seminar on Securities Practice sponsored by
the Utah State Bar (October 2003)
Moderator of Panel Discussion on Ethical Issues for Securities Attorneys under SEC
Rule 205 at the 26th Annual Securities Law Workshop, sponsored by the Securities
Section of the Utah State Bar (August 2003)
Speaker at CLE seminar "Stockbroker Fraud in Utah," sponsored by the National
Business Institute (October 1999)
Article: "Ninth Circuit Confirms the CFTC Does Not Have Jurisdiction Over
Off-Exchange Foreign Currency Transactions," Securities Law Roundup, Winter 1997
Article: "Brokerage Firm Policies Governing the Use of Internet and E-mail by
Associated Persons," Compliance Reporter, Institutional Investor, Inc., March 31, 1997
Law Journal Note: Nonsmoking Hiring Policies: Examining the Status of Smokers Under
Title I of the Americans With Disabilities Act of 1990, 43 Duke Law Journal 1089


Professional and Civic Activities
Listed in the Court-Annexed ADR Arbitrator/Mediator Roster for the Utah State Court
System (2009 to present)
Member of the Securities Advisory Board for the State of Utah (2006 to 2009)
Chair of the Securities Section of the Utah State Bar 2006-2007
Salt Lake County Bar Executive Committee (2005 to present)
Advisory Board Member to the Utah Division of Securities on the Uniform Securities Act
of 2002
Arbitrator with the Financial Industry Regulatory Authority (FINRA) (formerly NASD)
(1999 to present)
Globus Relief (formerly the Humanitarian Resource Center of North America) Executive
Board Member (2001 to 2006)
Young Lawyers' Division of the Utah State Bar, board member (1999-2001)
Salt Lake City Citizens Review Board member (1999-2002)
Board of Directors of the United Way of the Great Salt Lake Area (1989-90)

				
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