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Rumberger, Kirk & Caldwell Professional AssociationPartner
Mr. Peter John Tepley
Pro

Mr. Peter John Tepley

4.7
27 reviews

2001 Park Place North, Birmingham, AL 35203

Banking and Financial Institutions Litigation, Commercial Litigation, Securities and Financial Services Litigation and 6 more

About Mr. Peter John Tepley

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

 

Mr. Peter John Tepley (Birmingham, Alabama) View website

Awards

Distinguished Peer Rated
This award is granted to attorneys who have been recognized by their peers for very high ethical standards, with an average peer review score of 3.0 to 4.4.
Martindale-Hubbell Peer BV

Client Champion Awards

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Champion Badge Silver

At least three reviews and a score of 4.0 or higher.

Champion Badge Gold

At least six reviews and a score of 4.2 or higher.

Champion Badge Platinum

At least ten reviews and a score of 4.5 or higher.

Martindale Peer Awards

A lawyer who receives a minimum threshold of qualifying responses from fellow attorneys can qualify for one of three prestigious Martindale-Hubbell Peer Review Ratings:

Martindale-Hubbell Peer AV Preeminent Rating

AV Preeminent®: The highest peer rating standard. This rating signifies a large number of the lawyer’s peers rank him or her at the highest level of professional excellence for their legal knowledge, communication skills and ethical standards.

Martindale-Hubbell Peer Distinguished Rating

Distinguished: An excellent rating for a lawyer with some experience. This rating indicates the attorney is widely respected by their peers for high professional achievement and ethical standards.

Mr. Peter John Tepley got this award in 2021

Martindale-Hubbell Peer Notable Rating

Notable: This rating indicates that the lawyer has been recognized by a large number of their peers for strong ethical standards.

Avvo Awards

Avvo Top Contributor

Avvo Top Contributor: The Avvo Top Contributor Award is granted to attorneys who have earned significant contribution points in a given year on our sister site, Avvo.com. Contribution points are earned by answering questions in Q&A, publishing Legal Guides, and other useful contributions to the Avvo community.

Avvo Client Choice

Avvo Client’s Choice: The Avvo Client's Choice Award Badge is granted to attorneys with a significant number of 4+ star reviews in a given year.

Reviews for Peter

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Overall Rating
4.7
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4.7
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27
Avvo
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Services

Areas of Law

  • Commercial Litigation
  • Class Actions
  • Alternative Dispute Resolution 1
    • Arbitration
  • Other 6
    • Banking and Financial Institutions Litigation
    • Securities and Financial Services Litigation
    • Banking
    • Mortgage
    • and Financial Services
    • Securities & Investment Fraud

Experience

  • Bar Admission & Memberships
    Admissions
    1993, South Carolina (Inactive)
    1999, Alabama
    United States Supreme Court
    U.S. District Court of South Carolina
    U.S. District Court for the Southern, Middle and Northern Districts of Alabama
    U. S. Court of Appeals, 4th, 7th, 9th and 11th Circuits
    Memberships

    Professional

    •National Society of Compliance Professionals (NSCP)
    •Birmingham Inn of Court
    •American Bar Association
    •Co-chair of Securities Arbitration Sub-Committee
    •The National LGBT Bar Association
    •SIFMA Compliance and Legal Society

  • Education & Certifications
    Law School
    University of South Carolina
    Class of 1993
    J.D.
    cum laude
    Other Education
    New College of the University of South Florida
    Class of 1981
    B.A.

    Legislative Editor, South Carolina Environmental Law Journal

    Order of the Coif
  • Personal Details & History
    Age
    Born in 1957
    Terre Haute, Indiana, May 9, 1957

Activity

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Attorneys FAQs

  • What year was this attorney first admitted to the bar?
    Mr. Peter John Tepley was admitted in 1993 to the State of South Carolina.
  • Is this attorney admitted to practice in any U.S. Federal Courts?
    Mr. Peter John Tepley is admitted to practice before the United States Supreme Court.
  • How many attorneys are in this law firm?
    Rumberger, Kirk & Caldwell Professional Association has 87 attorneys at this location.
  • What law school did this attorney attend?
    Mr. Peter John Tepley attended University of South Carolina.

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