Mark Pugsley is a trial lawyer who primarily handles securities and investment disputes. He is the Chair of the Securities Litigation Group at Ray Quinney & Nebeker. Mr. Pugsley was the Chair of the Securities Section of the Utah State Bar in 2006 and has been a member of the Advisory Board for the Utah Division of Securities. He is a founder and member of the Utah Securities Association. He practiced for several years in Los Angeles, California before moving to Utah, and holds active licenses to practice law in both California and Utah.
The majority of Mr. Pugsley’s work involves FINRA arbitrations, investment advisor litigation, and SEC receivership cases for parties on all sides of these matters. He also frequently assists RIAs, brokerage firms and registered representatives with administrative actions and civil litigation brought by the Securities and Exchange Commission, the Utah Division of Securities, and the Financial Industry Regulatory Authority (FINRA, formerly NASD). He has been involved in many shareholder disputes, class actions, derivative actions and internal investigations for publicly-traded companies, and frequently advises investment advisors and brokerage firms on compliance issues.
Maria Heckel practices general commercial litigation before trial and appellate courts and in administrative proceedings. She works on a variety of litigation matters, but specializes in securities litigation and environmental and natural resources law and is a member of RQN’s appellate practice group.
In the area of securities litigation, Ms. Heckel works on cases involving allegations of securities fraud and other violations of state and federal securities laws. She is regularly involved in defending clients in regulatory enforcement and disciplinary actions. Before coming to Ray Quinney & Nebeker, Ms. Heckel worked as a legal clerk with the Utah office of the Securities & Exchange Commission.