Susan D. Resley serves as deputy practice leader of Morgan Lewis’ securities enforcement and litigation practice. Clients rely on Susan’s guidance to counsel and defend them in regulatory matters concerning accounting and disclosure issues, insider trading, Foreign Corrupt Practices Act (FCPA) (including due diligence and compliance), internal controls, cybersecurity concerns, whistleblower-related issues, and Securities and Exchange Commission (SEC) or Financial Industry Regulatory Authority (FINRA) rules related to broker-dealers and investment advisors. She has represented clients in international investigations, including in the United Kingdom, France, China, Japan, Korea, and India.
Susan has been recognized as one of the Top Women Lawyers in California in 2019 by the Daily Journal and recommended by The Legal 500 US in White Collar Criminal Defense, Corporate Investigations, and Securities Litigation.
Susan has obtained favorable results for her clients, including dismissals in litigation and pre-litigation decisions by the SEC, US Department of Justice (DOJ), Public Company Accounting Oversight Board (PCAOB), and private civil plaintiffs not to bring any action at all. Her clients include companies, boards and their committees, individual directors, senior officers, and employees, as well as accounting firms, brokerage and investment advisory firms, and other financial institutions. Susan represents clients in proceedings brought by the SEC Division of Enforcement, DOJ, and PCAOB and in securities and shareholder derivative actions.
Before joining 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 for 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.
Susan also serves on the firm’s Sarbanes-Oxley and Investment Committees and is hiring partner for the San Francisco office.