Mark Pugsley’s practice is focused on complex commercial litigation involving financial institutions, including brokerage firms, banks and insurance companies. He has handled investment fraud cases for over twenty years, including civil litigation, FINRA arbitration, whistleblower cases, receivership litigation, and regulatory investigations. He is the chair of the Securities Litigation Group at Ray Quinney & Nebeker and holds active licenses to practice law in Utah and California.
Mr. Pugsley also frequently assists investment advisors, brokerage firms and registered representatives with administrative actions, civil litigation, audit disputes and investigations brought by the U.S. Securities and Exchange Commission, the Utah Division of Securities, and the Financial Industry Regulatory Authority (FINRA). He has also handled shareholder disputes, class actions and derivative actions for private and publicly-traded companies.