Mr. Pugsley is the Chair of the Securities Litigation Group at RQ&N. The primary focus of Mr. Pugsley’s practice is complex commercial litigation. A significant portion of Mr. Pugsley’s time is devoted to securities matters, including federal and state securities litigation, NASD arbitrations, regulatory investigations, enforcement cases, injunctive actions, disciplinary cases, and branch audits brought by the Securities and Exchange Commission, the New York Stock Exchange, the Commodity Futures Trading Commission, the National Association of Securities Dealers, and the Utah Division of Securities.
Mr. Pugsley is the only attorney in Utah who has been accepted for membership with the Securities Industry Association’s Compliance and Legal Division. He is also a member of the National Society of Compliance Professionals, and an affiliated member of the National Association of Investment Professionals. Mr. Pugsley is an arbitrator with both the NASD and the NYSE.
Mr Pugsley received his J.D. and M.A. in Public Policy from Duke University in 1994, and his B.A. in Political Science from the University of Utah in 1991.