Peter Tepley focuses his practice on commercial litigation. 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. He also represents public and private companies and their officers and directors in a variety of complex business disputes, including business torts and breach of contract cases. Peter defends businesses and individual officers and directors in class actions, including securities class actions. In addition, he represents fiduciaries and other parties in will contest and breach of fiduciary duty cases.
Pete is the Chair of RumbergerKirk’s Diversity, Equity and Inclusion Committee.
Prior to his legal career, he spent nearly ten years in the computer software industry.
Awards & Honors
•Listed in Mid-South Super Lawyers - General Litigation, 2013, 2014, 2015, 2016, 2017
•Birmingham Business Journal, Best of the Bar 2023
Articles & Presentations
•Co-author 'FINRA Reminds Financial Firms How AI Use Poses Significant Risks,' Bloomberg Law, December 2024
•Co-author, 'Why Unclaimed Property Matters,' Business Alabama, November 2024
•Panelist, 'Reg Bi - Have Arbitrations Changed in the Wake of the New Standard of Care,' PLI Securities Arbitration Seminar 2024, September 2024
•Co-presenter, 'Why Unclaimed Property Matters,' Association of Corporate Counsel Birmingham, November 2023
•Panelist, 'Reg BI: Business As Usual, or Meaningful Change?,' Securities Experts Roundtable 2023 Annual Meeting and Conference, September 2023
•Panelist, 'Ethical Considerations in FINRA Arbitrations,' PLI Securities Arbitration 2023, September, 2023
•Presenter, 'FINRA Arbitration: Current Issues and Practice Tips for 2023,' The Knowledge Group Webinar, May 2023
•Co-author, 'Protecting Attorney-Client Privilege and Attorney Work-Product During Internal Investigations,' published in Business Alabama, December 16, 2022
•Presenter, 'Ways to Protect Attorney-Client Privilege and Attorney Work Product during Internal Investigations,' Association of Corporate Counsel, October 2022
•Author, 'Are Broker-Dealers Acting in the Best Interests of Their Customers? ‘Not Yet,’ Says FINRA,' Corporate Compliance Insights,' April 13, 2022
•Panelist, 'FINRA Arbitration and Enforcement: A Year in Review and What Lies Ahead,' Knowledge Group webinar, December 9, 2021
•Co-Presenter, 'Designing Your Company's Arbitration (or Non-Arbitration) Strategy: Considerations for In-house Counsel,' Association of Corporate Counsel, November 2021
•Moderator, 'Protecting Against Elder Investment Fraud and Exploitation,' Legally Qualified Podcast, June 2021
•Panelist, 'A Comprehensive Guide for FINRA-Registered Practitioners LIVE Webcast,' The Knowledge Group, May 13, 2021
•Author, 'Implementing Reg-BI and Preparing for Examinations: The Compliance Obligation,' November 2020
•Co-presenter, 'What Do We Mean by Diversity and Inclusion, and Why it Matters to Compliance Professionals,' National Society of Compliance Professionals, August 2020
•Co-presenter, 'Reg-Bi and the Future of Compliant Investor Recommendations,' InvestorCOM webinar, June 2020
•Co-author, 'The Litigation Risks of the Care Obligation of SEC Reg BI,' ThinkAdvisor, May 1, 2020
•Co-author, 'Minimizing Liability Under the SEC’s Reg-BI,' Corporate Compliance Insights, January 14, 2020
•Panelist, 'FINRA Arbitration Hot Topics for 2020,' The Knowledge Group Webinar, December 2019
•Panelist, 'FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond,' The Knowledge Group Webinar, April 5, 2018
•Co-Author, 'FINRA Office of Dispute Resolution Party Portal Now Required,' April 2017
Peter's News and Insights
12.16.2024
Securities and Financial Services
FINRA Reminds Financial Firms How AI Use Poses Significant Risks
These days, artificial intelligence is everywhere we look, and the...
Photo: Shutterstock.com/SomYuZu
11.26.2024
Commercial Litigation
Why Unclaimed Property Matters
State unclaimed property audits are becoming more frequent. Is your...
Photo: Shutterstock.com/SeDmi
09.12.2024
Events
Reg Bi - Have Arbitrations Changed in the Wake of the New Standard of Care
Peter Tepley joined a panel discussion during the PLI Securities...
11.08.2023
Events
Why Unclaimed Property Matters
As states become more and more focused on unclaimed property...
09.22.2023
Events
Reg BI: Business As Usual, or Meaningful Change?
Reg BI became effective three years ago, but did it...
09.07.2023
Events
Ethical Considerations in the FINRA Arbitration Forum
The Practising Law Institute (PLI) held a full day seminar,...
05.17.2023
Events
FINRA Arbitration: Current Issues and Practice Tips for 2023
Following the controversial ruling by Georgia State Court on the...
05.02.2023
Media Mentions
BBJ Best of the Bar 2023: Peter Tepley
The Birmingham Business Journal featured each of the 2023 Best...
03.27.2023
Firm News
Pete Tepley Named Among 2023’s “Best of the Bar” by the Birmingham Business Journal
BIRMINGHAM, Ala., March 27, 2023 - RumbergerKirk is pleased to...
12.20.2022
Commercial Litigation
Protecting Attorney-Client Privilege and Attorney Work-Product During Internal Investigations
Suppose your company suspects an employee broke the law, perhaps...
Photo: Shutterstock
