Pete Tepley is a commercial litigation attorney with RumbergerKirk. He represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment and industry disputes in FINRA arbitrations, as well as in state and federal courts. Pete is the Chair of RumbergerKirk’s Diversity and Inclusion Committee.
Meredith Jowers Lees is a commercial litigation attorney with extensive experience in securities and financial litigation at RumbergerKirk. She represents broker-dealers, including clearing brokers, in state and federal court and in FINRA arbitration in a wide variety of disputes including customer claims, raiding claims, violations of non-competition agreements, employment disputes, member-to-member claims, fraud claims, suitability claims, churning claims and trust-related claims.
RumbergerKirk’s Pete Tepley and Meredith Lees highlight litigation risks posed by the SEC’s Regulation Best Interest (Reg-BI), litigation risks that may arise from Reg-BI’s care and compliance obligations and best practices to mitigate those risks. By looking beyond Reg-BI’s June 30, 2020 compliance date to some of the litigation risks posed by Reg-BI, this article addresses: The possible litigation risks Reg-BI poses...
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