Pete Tepley, Author at Corporate Compliance Insights

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Pete Tepley

Pete Tepley, a partner in the Birmingham, Ala. office of RumbergerKirk, focuses his practice on Securities and Financial Services Litigation and regularly represent broker-dealers in FINRA arbitrations.

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Compliance

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

April 13, 2022

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Pete Tepley

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

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