RumbergerKirk
  • People
    • Robert H. Adams
    • Nicholas A. Aguirre
    • Craig A. Alexander
    • Robert P. Barton
    • Katherine Becerra
    • Rebecca A. Beers
    • Michael D. Begey
    • Robert L. Blank
    • Gabriele Bodanza
    • Blake Bonsack
    • Madison Buckley
    • Alyxandra Buhler Palma
    • Lori J. Caldwell
    • J. Richard Caldwell, Jr.
    • Brett M. Carey
    • Hannah Clark
    • Fred Clarke
    • Ligianette Cordova
    • Bradley Davis
    • Patrick M. Delaney
    • Leonard J. Dietzen, III
    • Renee Duffy
    • Samantha Duke
    • Derek M. Dzwonkowski
    • Douglas E. Ede
    • Ernest “Skip” H. Eubanks, Jr.
    • Angel Everett
    • Meredith Fee
    • Sandra Ferrin
    • Robert V. Fitzsimmons
    • Michael L. Forte
    • Darryl L. Gavin
    • Daniel J. Gerber
    • Richard A. Greenberg
    • Jeffrey J. Grosholz
    • Jessica J. Gross
    • Reginald Guillaume
    • Carie Hall
    • Brent Hartman
    • Chase Hattaway
    • Suzanne Barto Hill
    • Michael R. Holt
    • Mary Hudson
    • Sara Lewis Kallop
    • Jacey Kaps, CIPP/US
    • Lan Kennedy-Davis
    • Meghan Kennedy Marcus
    • Jessica Kerbel
    • Melina Khosrovani
    • Bud Kirk
    • Steven I. Klein
    • Hannah L. Klonowski
    • Taylor M. Koshak
    • Nicole Kwapisz
    • Meredith Jowers Lees
    • Joshua D. Lerner
    • Paul Lipton
    • Graham Marcus
    • J. David Marsey
    • Alexander A. Melvin
    • Candy L. Messersmith
    • Kari A. Metzger
    • Joseph T. Metzger
    • Madison Miller
    • Charles P. Mitchell
    • Damien A. Orato
    • Brittney Polo
    • Julie Potts
    • Rihana D. Purdin
    • Kayla E. Platt Rady
    • J. Michael Rediker
    • Seth B. Roebuck
    • Jessica A. Romanies
    • Jens C. Ruiz
    • E. Thom Rumberger
    • Isadora Sadler
    • Scott M. Sarason
    • Nicholas Sellas
    • David B. Shelton
    • Francis H. Sheppard
    • Suzanne A. Singer
    • Nicole Sieb Smith
    • M. Stephen Smith
    • Larry D. Smith
    • Matthew Smith
    • Melissa I. Softness
    • E. Berton Spence
    • Peter J. Tepley
    • Jennifer Smith Thomas
    • Evan Thomas
    • Devin M. Topper
    • Courtney Tournade
    • James F. Walsh
    • Eric Watson
    • Thomas Webb
    • John “Jack” Weiss
    • Passion Wells
    • R. Scott Williams
    • David C. Willis
  • Practices
    • Appellate
    • Aviation
    • Bankruptcy and Restructuring
    • Casualty Litigation
    • Class Actions
    • Commercial Litigation
    • Construction
    • Consumer Defense
    • Corporate and Tax
    • Criminal Defense
    • Cyber & Technology
    • Education
    • Employment and Labor
    • Estates and Trusts
    • External General Counsel Services
    • Family Law
    • Government and Administrative
    • Insurance Coverage and Bad Faith
    • Intellectual Property
    • Mediation & Arbitration
    • Product Liability
    • Professional Liability
    • Real Estate
    • Securities and Financial Services
    • Toxic Torts
    • Trucking
    • Warranty and Lemon Law
  • Careers
    • Summer Associate
    • Summer Associate Blog
    • Associate College
    • Career Openings
  • Insights
    • Articles
    • Podcasts
  • News
  • About
  • Industries
  • Diversity
  • Contact
  • Legal
Facebook LinkedIn X Instagram
Rumberger Kirk
We use cookies to enhance your experience and improve our services and our website’s functionality. By continuing to use our website, including remaining on the landing page, you consent to our use of cookies. For more information see our Cookie Notice.
LinkedIn Facebook Twitter

Peter J. Tepley

Partner
Birmingham Office
205.721.2816
Email

Download vCard

Practices

  • Commercial Litigation
  • Class Actions
  • Securities and Financial Services
  • ?
    Tags will open in a new tab

    Profile

    Peter Tepley focuses his practice on commercial litigation. He represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment, and industry disputes in FINRA arbitrations as well as in state and federal courts. He also represents public and private companies and their officers and directors in a variety of complex business disputes, including business torts and breach of contract cases. Peter defends businesses and individual officers and directors in class actions, including securities class actions. In addition, he represents fiduciaries and other parties in will contest and breach of fiduciary duty cases.

    Pete is the Chair of RumbergerKirk’s Diversity, Equity and Inclusion Committee.  Prior to his legal career, he spent nearly ten years in the computer software industry.

    Details

    • Banking and Financial Institutions

    • National Society of Compliance Professionals (NSCP)
    • Birmingham Inn of Court
    • American Bar Association
      • Co-chair of Securities Arbitration Sub-Committee
    • The National LGBT Bar Association
    • SIFMA Compliance and Legal Society

    University of South Carolina School of Law — J.D., cum laude, 1993

    • Order of the Coif
    • Legislative Editor, South Carolina Environmental Law Journal

    New College of the University of South Florida — B.A., 1981

    • Alabama

    • United States Supreme Court
    • U.S. District Court of South Carolina
    • U. S. District Court of Alabama (Southern, Middle, Northern)
    • U. S. Court of Appeals, 4th, 7th, 9th and 11th Circuits

    • Listed in Mid-South Super Lawyers - General Litigation, 2013, 2014, 2015, 2016, 2017
    • Birmingham Business Journal, Best of the Bar 2023

    • Co-author "FINRA Reminds Financial Firms How AI Use Poses Significant Risks," Bloomberg Law, December 2024
    • Co-author, "Why Unclaimed Property Matters," Business Alabama, November 2024
    • Panelist, "Reg Bi – Have Arbitrations Changed in the Wake of the New Standard of Care," PLI Securities Arbitration Seminar 2024, September 2024
    • Co-presenter, "Why Unclaimed Property Matters," Association of Corporate Counsel Birmingham, November 2023
    • Panelist, "Reg BI: Business As Usual, or Meaningful Change?," Securities Experts Roundtable 2023 Annual Meeting and Conference, September 2023
    • Panelist, "Ethical Considerations in FINRA Arbitrations," PLI Securities Arbitration 2023, September, 2023
    • Presenter, "FINRA Arbitration: Current Issues and Practice Tips for 2023," The Knowledge Group Webinar, May 2023
    • Co-author, "Protecting Attorney-Client Privilege and Attorney Work-Product During Internal Investigations," published in Business Alabama, December 16, 2022
    • Presenter, "Ways to Protect Attorney-Client Privilege and Attorney Work Product during Internal Investigations," Association of Corporate Counsel, October 2022
    • Author, "Are Broker-Dealers Acting in the Best Interests of Their Customers? ‘Not Yet,’ Says FINRA," Corporate Compliance Insights," April 13, 2022
    • Panelist, "FINRA Arbitration and Enforcement: A Year in Review and What Lies Ahead," Knowledge Group webinar, December 9, 2021
    • Co-Presenter, "Designing Your Company's Arbitration (or Non-Arbitration) Strategy: Considerations for In-house Counsel," Association of Corporate Counsel, November 2021
    • Moderator, "Protecting Against Elder Investment Fraud and Exploitation," Legally Qualified Podcast, June 2021
    • Panelist, "A Comprehensive Guide for FINRA-Registered Practitioners LIVE Webcast," The Knowledge Group, May 13, 2021
    • Author, "Implementing Reg-BI and Preparing for Examinations: The Compliance Obligation," November 2020
    • Co-presenter, "What Do We Mean by Diversity and Inclusion, and Why it Matters to Compliance Professionals," National Society of Compliance Professionals, August 2020
    • Co-presenter, "Reg-Bi and the Future of Compliant Investor Recommendations," InvestorCOM webinar, June 2020
    • Co-author, "The Litigation Risks of the Care Obligation of SEC Reg BI," ThinkAdvisor, May 1, 2020
    • Co-author, "Minimizing Liability Under the SEC’s Reg-BI," Corporate Compliance Insights, January 14, 2020
    • Panelist, "FINRA Arbitration Hot Topics for 2020," The Knowledge Group Webinar, December 2019
    • Panelist, "FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond," The Knowledge Group Webinar, April 5, 2018
    • Co-Author, "FINRA Office of Dispute Resolution Party Portal Now Required," April 2017

    Peter's News and Insights

    See All News See All Insights Read Beyond the Bio
    Drag
    12.16.2024
    Securities and Financial Services

    FINRA Reminds Financial Firms How AI Use Poses Significant Risks

    These days, artificial intelligence is everywhere we look, and the...

    Photo: Shutterstock.com/SomYuZu
    11.26.2024
    Commercial Litigation

    Why Unclaimed Property Matters

    State unclaimed property audits are becoming more frequent. Is your...

    Photo: Shutterstock.com/SeDmi
    09.12.2024
    Events

    Reg Bi – Have Arbitrations Changed in the Wake of the New Standard of Care

    Peter Tepley joined a panel discussion during the PLI Securities...

    11.08.2023
    Events

    Why Unclaimed Property Matters

    As states become more and more focused on unclaimed property...

    09.22.2023
    Events

    Reg BI:  Business As Usual, or Meaningful Change?

    Reg BI became effective three years ago, but did it...

    09.07.2023
    Events

    Ethical Considerations in the FINRA Arbitration Forum

    The Practising Law Institute (PLI) held a full day seminar,...

    05.17.2023
    Events

    FINRA Arbitration: Current Issues and Practice Tips for 2023

    Following the controversial ruling by Georgia State Court on the...

    05.02.2023
    Media Mentions

    BBJ Best of the Bar 2023: Peter Tepley

    The Birmingham Business Journal featured each of the 2023 Best...

    03.27.2023
    Firm News

    Pete Tepley Named Among 2023’s “Best of the Bar” by the Birmingham Business Journal

    BIRMINGHAM, Ala., March 27, 2023 – RumbergerKirk is pleased to...

    12.20.2022
    Commercial Litigation

    Protecting Attorney-Client Privilege and Attorney Work-Product During Internal Investigations

    Suppose your company suspects an employee broke the law, perhaps...

    Photo: Shutterstock
    See All News See All Insights Read Beyond the Bio

    Offices

    Orlando

    300 South Orange Avenue
    Suite 1400
    Orlando, FL 32801

    407.872.7300

    Miami

    80 Southwest 8th Street
    Suite 3000
    Miami, FL 33130

    305.358.5577

    Tampa

    100 North Tampa Street
    Suite 2000
    Tampa, FL 33602

    813.223.4253

    Tallahassee

    101 North Monroe Street
    Suite 1050
    Tallahassee, FL 32301

    850.222.6550

    Birmingham

    2001 Park Place North
    Suite 1300
    Birmingham, AL 35203

    205.327.5550
    Start a conversation
    Search for an attorney
    Facebook
    LinkedIn
    X
    Instagram
    ©2025 Rumberger, Kirk & Caldwell, P.A.
    All rights reserved.
    Legal
    Attorney Advertising A site by Big Vision.