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Mark W. Pugsley

Attorney Profile

Top Rated Securities Litigation Attorney in Salt Lake City, UT

Pugsley Wood LLP
350 East 400 South, #400
Salt Lake City, UT 84111
Phone: 801-370-9800
Selected to Super Lawyers: 2010 - 2022
Licensed in Utah Since: 1998
Practice Areas: Securities Litigation
Attorney Profile

Mark W. Pugsley is a partner and co-founder of Pugsley Wood LLP in Salt Lake City, Utah, one of the nation’s prominent whistleblower law firms. A seasoned lawyer, he handles whistleblower claims, securities disputes and financial fraud cases for clients throughout the United States. 

With a proven track record of uncovering scams and illegal activities in several large companies, Mr. Pugsley appears before Utah and California state and federal courts, Colorado federal courts, the Supreme Court of the United States and the United States Courts of Appeals for the 4th and 10th Circuits. 

For nearly a decade Mr. Pugsley has been helping people report fraudulent practices by preparing and filing whistleblower tips with state and federal agencies. He has also represented victims of fraud and helped them collect on FINRA arbitration claims. His wisdom and extensive experience enable him to develop unique strategies that could save clients expensive and potentially risky litigation.

A political science graduate of The University of Utah, Mr. Pugsley obtained his master’s degree in public policy from the Duke University Sanford School of Public Policy and his Juris Doctor from the Duke University School of Law. He served on the editorial board of the Duke Law Journal during law school. He was a partner at a Salt Lake City-based law firm for more than 20 years before establishing Pugsley Wood LLP.

Mr. Pugsley has held leadership positions such as the chair of the Securities Law Section of the Utah State Bar, executive committee member of the Salt Lake County Bar Association, the advisory board member of the Utah Division of Securities on the Uniform Securities Act of 2002 and the board member of the United Way of Salt Lake. He is an active member of The State Bar of California, the Federal Bar Association, the American Bar Association, the Taxpayers Against Fraud and the Public Investors Advocate Bar Association.

A sought-after speaker, moderator and panelist at various conferences and conventions, Mr. Pugsley has authored articles for renowned journals. His accolades include a AV Preeminent* rating by Martindale-Hubbell. He has been recognized by The Best Lawyers in America, the Benchmark Plaintiff and the Utah Business magazine.

*AV®, AV Preeminent®, Martindale-Hubbell Distinguished and Martindale-Hubbell Notable are certification marks used under license in accordance with the Martindale-Hubbell certification procedures, standards and policies. Martindale-Hubbell® is the facilitator of a peer review rating process. Ratings reflect the anonymous opinions of members of the bar and the judiciary. Martindale-Hubbell® Peer Review Rating™ fall into two categories – legal ability and general ethical standards.

Practice Areas
  • 100%Securities Litigation

Selections

13 Years Super Lawyers
  • Super Lawyers: 2010 - 2022

About Mark W. Pugsley

First Admitted: 1994, California

Professional Webpage: https://www.pugsleywood.com/mark-w-pugsley.html

Bar/Professional Activity

  • Utah State and Federal Courts
  • Fourth Circuit Court of Appeals
  • Tenth Circuit Court of Appeals
  • United States Supreme Court
  • Colorado Federal Courts
  • California State and Federal Courts
  • Arbitrator, National Futures Association (2020-present)
  • The Public Investors Advocate Bar Association
  • Taxpayers Against Fraud
  • American Bar Association
  • Federal Bar Association
  • California State Bar
  • Utah State Bar
  • Board Member, United Way of the Great Salt Lake Area (1989-1990)
  • Utah State Bar Young Lawyers’ Division Board Member (1999-2001)
  • Utah State Bar Young Lawyers’ Division Board Member (1999-2001)
  • Executive Board Member, Globus Relief (2001-2006 and 2020-present)
  • Arbitrator with the National Futures Association (NFA) (2020-present)
  • Commissioner, Utah State Bar (elected in 2018 for a three-year term) Member of the National Association of Federal Equity Receivers (2014-present) Member of the National Society of Compliance Professionals (2011-present) Member of the Securities Advisory Board for the State of Utah (2006-2009) Utah Securities Association, Founder Chair of the Securities Section of the Utah State Bar (2006-2007) Executive Committee Member of the Salt Lake County Bar Association (2005-2010) Advisory Board Member to the Utah Division of Securities on the Uniform Securities Act of 2002 Arbitrator with the Financial Industry Regulatory Authority (FINRA) (formerly NASD) (1999-2012)

Scholarly Lectures/Writings

  • Speaker: "Ponzi Schemes and Affinity Fraud" at a meeting of the Southern Utah Bar Association (December 2021)
  • Law Journal Note: "Non Smoking Hiring Policies: Examining the Status of Smokers Under Title I of the Americans With Disabilities Act of 1990", 43 Duke Law Journal 1089
  • Article: "Brokerage Firm Policies Governing the Use of Internet and E-mail by Associated Persons," Compliance Reporter, Institutional Investor, Inc., March 31, 1997
  • Article: "Ninth Circuit Confirms the CFTC Does Not Have Jurisdiction Over Off-Exchange Foreign Currency Transactions," Securities Law Roundup, Winter 1997
  • Speaker at CLE seminar "Stockbroker Fraud in Utah," sponsored by the National Business Institute (October 1999)
  • Moderator of Panel Discussion on Ethical Issues for Securities Attorneys under SEC Rule 205 at the 26th Annual Securities Law Workshop, sponsored by the Securities Section of the Utah State Bar (August 2003)
  • Presentation: "NASD Arbitration" at CLE seminar on Securities Practice sponsored by the Utah State Bar (October 2003)
  • Presentation: "Recent 9th and 10th Circuit Securities Decisions" at the Utah Securities Section's Securities Law Workshop (August 2004 and August 2005)
  • Presentation: "The Regulators are Watching: How to Survive Increasing Securities Regulation and Litigation" before the Salt Lake Estate Planning Council's 2005 Fall Institute
  • Moderator: Panel Discussion on Regulatory Enforcement Issues at the 2006 Securities Law Workshop, sponsored by the Securities Section of the Utah State Bar (August 2006)
  • Editorial: Perils of Investing with Friends and Ward Members as published in the Salt Lake Tribune (December 2008)
  • Panelist: Investment Adviser Workshop sponsored by the Utah Division of Securities (June 2009)
  • Speaker: Private Causes of Action under the Utah Uniform Securities Act, CLE sponsored by the Securities Section of the Utah State Bar (March 2010)
  • Author of article in Utah CEO Magazine: The Price of Neglecting Corporate Compliance in the Post-Madoff World (April 2010)
  • Panelist: Litigation Risk in Today's Economy at the Annual Conference of the Real Estate Investors Securities Association (October 2010)
  • Workshop Instructor on How to Draft a Securities Complaint, Utah Securities Section's Annual Securities Law Workshop (August 2012)
  • Presentation: Update on Significant Decisions, Utah Securities Section's Annual Securities Law Workshop (August 2012)
  • Presentation to the Utah Financial Planners Association: Affinity Fraud; How to Help Your Clients Avoid Being a Victim (January 2013)
  • Authored an article titled "Top Ten Ways to Avoid Losing Money in an Financial Scam" For The Enterprise Magazine (July 2014)
  • Panelist: Civil Penalties in SEC Enforcement Actions - What Practitioners and Corporate Counsel Need to Know, sponsored by the Federal Bar Association and the Securities Section of the Utah State Bar (April 2015)
  • Presentation on the SEC's Whistleblower Program at the 2015 White Collar Crime Conference sponsored by the Association of Certified Fraud Examiners (October 2015)
  • Panelist with Sean McKessy, Chief, Office of the Whistleblower, U.S. Securities and Exchange Commission on the Dodd-Frank Whistleblower Program, sponsored by the Federal Bar Association and the Securities Section of the Utah State Bar (November 2015)
  • Presentation: Recent Developments in FINRA Arbitration, Utah Securities Section's Annual Securities Law Workshop (August 2016)
  • Presentation on whistleblower law with Jane Norberg, Chief, Office of the Whistleblower, S. Securities and Exchange Commission at the Summer Convention of the of the Utah State Bar (July 2017)
  • Panel Moderator: "Law Firm Marketing: What Works and What Doesn't" at the Annual Meeting of the Public Investors Advocate Bar Association (October 2017)
  • Panelist: "Building Your Own Book of Business: Marketing Yourself and Your Firm" to the Litigation Section of the Utah State Bar (January 2019)
  • Panel Moderator: "How Receiverships Can Create Additional Recoveries for Victims of Fraud" at the Annual Meeting of the Public Investors Advocate Bar Association (October 2019)
  • Speaker: "How to Spot Ponzi Schemes and Affinity Fraud - And What You Can Do About It" at RQN's 30th Annual Tax & Business Seminar (October 2019)
  • Panelist: "Whistleblowers: Endangered Canaries or Bounty Hunters?" at the Public Investors Advocate Bar Association Annual Convention (October 2020)
  • Panelist: " Litigating in Different Forums: JAMS, AAA, FINRA and Court" at the Public Investors Advocate Bar Association Mid-year Convention (April 2021)
  • Moderator: "Ethics and Defamation: The Pitfalls of Communicating with Potential Clients through Blogs and Direct Solicitations" at the Public Investors Advocate Bar Association Annual Convention (October 2021)

Educational Background

  • B.S., Political Science, University of Utah, 1991
  • M.A., Public Policy, Sanford Institute of Public Policy at Duke University, 1994, 1994

Honors/Awards

    • The Best Lawyers in America: Tier 1 in Utah for Securities Law since 2008 in the following categories:
      • Litigation – Securities (Lawyer of the Year, Utah in 2016)
      • Securities Regulation (Lawyer of the Year, Utah in 2013)
      • Corporate Law
    • Super Lawyers:
      • Highly recommended for Securities Litigation (2010-2018)
      • Top 100 in Mountain States Region (2012)
    • Benchmark Plaintiff:  Rated as “Highly Recommended” for Securities Litigation
    • Utah Business Magazine: Listed as one of Utah’s “Legal Elite” in the category of Civil Litigation every year since the list’s inception in 2004.
    • Martindale-Hubbell: AV Preeminent (5.0) rating.

Pro bono/Community Service

  • Board of Directors, Globus Relief, 2019

Industry Groups

  • Investment
  • Securities
  • Whistleblower
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Office Location for Mark W. Pugsley

350 East 400 South
#400
Salt Lake City, UT 84111

Phone: 801-370-9800

Last Updated: 5/15/2022

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