Faculty: Susan D. Resley

Susan ResleyLeading Morgan Lewis’s Securities Enforcement Practice, Susan D. Resley advises individuals and organizations in securities-related investigations and litigation. Her clients include companies, boards and their committees, individual directors, senior officers, and employees of companies, as well as accounting firms, brokerage and investment advisory firms, and other financial institutions. Susan represents clients in proceedings brought by the Securities and Exchange Commission’s (SEC) Division of Enforcement, the Department of Justice (DOJ), and the Public Company Accounting Oversight Board (PCAOB).

Recommended by the legal clients’ guide The Legal 500 United States in White Collar Criminal Defense, Susan counsels on complex investigations and white-collar matters. Those matters include charges of alleged accounting and disclosure fraud, insider trading, “pay to play” conduct and market timing, and violations of SEC or Financial Industry Regulatory Authority (FINRA) rules related to broker-dealers and investment advisors. Susan has obtained favorable results for her clients, including dismissals in litigation and prelitigation decisions by the SEC or DOJ not to bring any action at all.

Companies and boards of directors, including audit committees, rely on Susan’s guidance on disclosure and compliance-related issues. Additionally, audit and special board committees retain her to conduct internal investigations into matters that involve accounting, disclosure, and the Foreign Corrupt Practices Act (FCPA), including matters raised by whistleblowers.

Before coming to Morgan Lewis, Susan was a securities litigation partner with an international law firm. Prior to that, she held a partnership role at the global firm. She brings government experience to her clients, as she worked at the SEC before starting in private practice. At that agency’s Division of Enforcement in its Los Angeles Regional office, Susan oversaw and took part in investigations into insider trading, broker-dealer practices, municipal bond offerings, accounting practices, and market manipulation.

She lectures frequently on such legal topics as conducting internal investigations, SEC enforcement trends, accounting and controls matters, and the FCPA. She also comments on media outlets including National Public Radio (NPR) and Fox News, and several news and legal publications often quote her.

 

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Details

When: Wednesday, May 10, 2017
7:00 am - 8:00 am (breakfast & check-in)
8:00 am - 5:00 pm (followed by cocktail party)
Where: Four Seasons Hotel Silicon Valley (details, map)
2050 University Ave
East Palo Alto, California 94303
CLE Credit: 6.25 hours (approved in CA)

Materials

Links to materials available here.

CLE Information and Forms

SEF2014 CLE -sm6.25 hrs CLE credit approved in CA. Forms available here.

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