Skip to main content
Mark Walton Pugsley

Mark Walton Pugsley

also known as Mark W. Pugsley

Practice areas:

Litigation, Securities & Investment Fraud

About Me

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

More 

Practice Areas

Licensed since 1998

  1. Securities & Investment Fraud: 50%
    21 years
  2. Litigation: 50%
    21 years

Payment

Fees:

Retainer (Sometimes)

Payment Types:

Cash, Check, Credit Card

Attorney Endorsements

0 total

Endorsements from fellow lawyers are an important consideration for many when selecting the right attorney. Be the first to endorse your colleague!

Endorse this lawyer

Contact Info

36 S State St Ste 1400
P O Box 45385
Salt Lake City, UT, 84111-1451

Resume

License
StateStatusAcquiredUpdated
UTActive199804/25/2015
CAInactive199402/26/2015

Professional Misconduct

We have not found any instances of professional misconduct for this lawyer.
Avvo Contributions
Legal Answers
Awards
Award NameGrantorDate Granted
Mountain States Super Lawyer - Business LitigationSuperlawyers2010
Best Lawyers in America - Securities lawBest Lawyers in America2008
AV RatedMartindale-Hubbell2006
Utah Legal EliteUtah Business MagazineN/A

Work Experience
TitleCompany NameDuration
PartnerRay Quinney & Nebeker1998 - Present
AssociateMorgan Lewis & Bockius1996 - 1998
AssociateJones, Bell, Abbott, Fleming & Fitzgerald L.L.P.1994 - 1996

Associations
Association NamePosition NameDuration
Utah Securities AssociationFounder and general counsel2008 - Present
National Society of Compliance ProfessionalsMember2006 - Present
Salt Lake County Bar AssociationExecutive Committee2006 - Present
National Association of Investment ProfessionalsAffiliated Member2005 - Present
Federal Bar Association (Utah Chapter)Member2004 - Present
American Bar AssociationMember1996 - Present

Legal Cases
Case NameOutcome
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 AimanTeporary Restraining order Denied

See all Legal Cases 

Publications
Publication NameTitleDate
Duke Law JournalNonsmoking Hiring Policies: Examining the Status of Smokers Under Title I of the Americans With Disabilities Act of 19901994

Education
School NameMajorDegreeGraduated
Duke University School of LawN/AJD1994
Duke University, Sanford Institute of Public PolicyN/AMA1994
University of UtahN/AN/A1991

Speaking Engagements
Conference NameTitleDate
2006 Securities Law WorkshopModerator of Panel Discussion on Regulatory Enforcement Issues2006
Salt Lake Estate Planning Council's 2005 Fall InstituteThe Regulators are Watching: How to Survive Increasing Securities Regulation and Litigation2005