Mark Pugsley’s practice is focused on commercial disputes involving financial products and institutions. He has handled fraud and investment disputes for over twenty five years, including civil litigation, FINRA arbitrations, SEC, CFTC, IRS and FIRREA whistleblower cases, Ponzi scheme cases, and receivership litigation.
Mr. Pugsley frequently defends civil enforcement actions and regulatory investigations brought by the U.S. Securities and Exchange Commission (SEC), the Utah Division of Securities, the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) involving individuals, brokers, brokerage firms and investment advisors. He has also handled shareholder disputes, class actions, internal investigations and shareholder derivative actions involving private and publicly-traded companies.
Mr. Pugsley was elected as a Commissioner of the Utah State Bar (Third District) in 2018 and is the chair of the Securities Litigation Group at Ray Quinney & Nebeker. He holds active licenses to practice law in Utah and California.
Mr. Pugsley has been recognized as one of the preeminent litigators in Utah by the following rating publications:
Mr. Pugsley has been writing and speaking on affinity fraud and Ponzi schemes for many years. He maintains a blog relating to securities fraud issues here in Utah and nationally: UtahSecuritiesFraud.com
Duke University School of Law, J.D., 1994
Sanford Institute of Public Policy at Duke University, M.A., Public Policy, 1994
University of Utah, B.S., Political Science, 1991
Admitted to Practice -
Utah State and Federal Courts
California State and Federal Courts
Colorado Federal Courts
United States Supreme Court
Tenth Circuit Court of Appeals
Fourth Circuit Court of Appeals