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Peter J. Tepley

Partner
Birmingham Office
205.721.2816
ptepley@
rumberger.com
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Practices

  • Commercial Litigation
  • Class Actions
  • Securities and Financial Services
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    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 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

    • 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
    11.19.2020
    Securities and Financial Services

    Implementing Reg-BI and Preparing for Examinations: The Compliance Obligation

    With SEC Regulation Best Interest (“Reg-BI”) effective as of June...

    Photo: Shutterstock.com/Jer123
    08.04.2020
    Firm News

    What Do We Mean by Diversity and Inclusion, and Why it Matters to Compliance Professionals

    During a webinar for the National Society of Compliance Professionals...

    06.23.2020
    Events

    Reg-Bi and the Future of Compliant Investor Recommendations

    Broker-dealers have known about the pending Reg BI deadline since...

    05.11.2020
    Commercial Litigation

    The Litigation Risks of the Care Obligation of SEC Reg BI

    Here are some best practices to mitigate those risks. The...

    02.28.2020
    Media Mentions

    Boeing Hit With $2M Verdict For Breaching Air Force Bid Deals, Law360

    In an article published by Law360 on March 2, 2020,...

    01.14.2020
    Securities and Financial Services

    Minimizing Liability Under the SEC’s Reg-BI

    Litigation Risks Posed by the SEC’s Regulation Best Interest Pete...

    Photo: Pavel Ignatov/Shutterstock.com
    12.17.2019
    Firm News

    Peter Tepley Discusses FINRA Arbitration Hot Topics for 2020

    As part of a live webcast presented by The Knowledge...

    01.18.2019
    Firm News

    Pete Tepley Addresses FINRA’s Heightened Sanction Guidelines

    Pete Tepley was part of a panel for a Knowledge Group, LLC...

    04.11.2018
    Firm News

    Pete Tepley Participates in FINRA Arbitration & Enforcement Webinar

    FINRA Rules and the arbitration landscape are constantly changing. FINRA...

    08.25.2017
    Firm News

    RumbergerKirk Attorneys Selected As 2017 Mid-South Super Lawyers and Rising Stars

    RumbergerKirk is pleased to announce that five of the firm’s...

    See All News See All Insights Read Beyond the Bio

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    205.327.5550
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