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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

    • 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
    04.19.2022
    Securities and Financial Services

    Are Broker-Dealers Acting in the Best Interests of Their Customers? ‘Not Yet,’ Says FINRA

    Noting Deficiencies, FINRA Suggests Best Practices for Reg BI Compliance...

    Photo: Kristi Blokhin / Shutterstock.com
    02.15.2022
    Media Mentions

    11th Circuit Revives $100M Trade Secrets Claim Against Boeing, in Law360

    Law360 reported in an article on February 14, 2022 that...

    12.09.2021
    Events

    FINRA Arbitration and Enforcement: A Year in Review and What Lies Ahead

    The FINRA arbitration and enforcement landscape has been continuously reshaped...

    11.02.2021
    Events

    Designing Your Company’s Arbitration (or Non-Arbitration) Strategy: Considerations for In-house Counsel

    Rebecca Beers, Bert Spence and Pete Tepley teamed up for...

    06.21.2021
    Securities and Financial Services

    Protecting Against Elder Investment Fraud and Exploitation

    In this episode of Legally Qualified, RumbergerKirk attorneys Pete Tepley...

    06.11.2021
    Firm News

    RK Attorneys Receive Diversity, Equity and Inclusion in the Workplace Certification

    Tallahassee partner Linda Edwards and Birmingham partner Pete Tepley received...

    05.13.2021
    Events

    Latest Continuing Education (CE) Requirements: A Comprehensive Guide for FINRA-Registered Practitioners

    Peter Tepley participated in this Knowledge Group CLE Webinar on...

    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...

    See All News See All Insights Read Beyond the Bio

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