Search for "Anna M. Pugsley"

Mark Pugsley's practice is focused on financial fraud, investment disputes, FINRA Arbitrations, and whistleblower cases filed with the SEC, CFTC and IRS. He frequently handles 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 also handles receivership litigation, clawback cases, Qui Tam or False Claims Act cases, shareholder disputes, investor class actions, and internal investigations involving private and publicly-traded companies.

Kevin is a Principal in the firm and considers himself as a true business attorney. From start-up through transition, Kevin serves as outside counsel for a myriad of local businesses of varying size and industry. He is a member of the firm’s Corporate, Nonprofits, Science & Technology, and Real Estate practice groups, and regularly provides counsel in each of these areas, including general operation and governance of for-profit and nonprofit entities, business dispute resolutions, IP and technology licensing and transactions, private placements, the negotiation of employment relationships and separations, executive compensation, structuring and implementing corporate mergers and acquisitions, the negotiation...