Mark Pugsley is a trial lawyer who primarily handles securities and investment disputes. He is the Chair of the Securities Litigation Group at Ray Quinney & Nebeker. 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. 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 work involves FINRA arbitrations, investment advisor litigation, and SEC receivership cases for parties on all sides of these matters. He also frequently assists RIAs, brokerage firms and registered representatives with 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 many shareholder disputes, class actions, derivative actions and internal investigations for publicly-traded companies, and frequently advises investment advisors and brokerage firms on compliance issues.
Mr. Pugsley maintains an AV Preeminent (5.0) rating with Martindale-Hubbell, which is the highest rating awarded to attorneys for professional competence and ethics. Mr. Pugsley has been listed in The Best Lawyers in America Tier 1 in Utah for Securities Law since 2008, and he was selected as the Best Lawyer's "Lawyer of the Year" for Securities Regulation in 2013. He was also ranked as one of the "Top 100" attorneys by Mountain States Super Lawyers in 2012. He was recently recognized as a "Highly Recommended" lawyer in Utah by Benchmark Plaintiff and has been listed by Utah Business Magazine as one of Utah’s “Legal Elite” in the category of Civil Litigation in every year since the list's inception in 2004.
Mr. Pugsley maintains a blog relating to securities fraud issues in Utah: UtahSecuritiesFraud.com
Licensed since 1998
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|Award Name||Grantor||Date Granted|
|Mountain States Super Lawyer - Business Litigation||Superlawyers||2010|
|Best Lawyers in America - Securities law||Best Lawyers in America||2008|
|Utah Legal Elite||Utah Business Magazine||N/A|
|Partner||Ray Quinney & Nebeker||1998 - Present|
|Associate||Morgan Lewis & Bockius||1996 - 1998|
|Associate||Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P.||1994 - 1996|
|Association Name||Position Name||Duration|
|Utah Securities Association||Founder and general counsel||2008 - Present|
|National Society of Compliance Professionals||Member||2006 - Present|
|Salt Lake County Bar Association||Executive Committee||2006 - Present|
|National Association of Investment Professionals||Affiliated Member||2005 - Present|
|Federal Bar Association (Utah Chapter)||Member||2004 - Present|
|American Bar Association||Member||1996 - Present|
|Ashok Kapur v. USANA Health Sciences, et al.||Case dismissed on a motion to dismiss|
|Merrill Lynch Pierce Fenner & Smith Inc. v. Rex Baxter and Paul Aiman||Teporary Restraining order Denied|
|Duke Law Journal||Nonsmoking Hiring Policies: Examining the Status of Smokers Under Title I of the Americans With Disabilities Act of 1990||1994|
|Duke University School of Law||N/A||JD||1994|
|Duke University, Sanford Institute of Public Policy||N/A||MA||1994|
|University of Utah||N/A||N/A||1991|
|2006 Securities Law Workshop||Moderator of Panel Discussion on Regulatory Enforcement Issues||2006|
|Salt Lake Estate Planning Council's 2005 Fall Institute||The Regulators are Watching: How to Survive Increasing Securities Regulation and Litigation||2005|