FacultyFaculty/Author Profile

Susan Harper

Bates Group LLC
Managing Director
Lake Oswego, OR, USA


Susan L. Harper, Esq. is the Managing Director NY/NJ of Bates Group LLC.  Voted a “Best Securities Litigation Consulting Firm” by readers of the New York Law Journal, Bates Group is the nation’s preeminent financial services consulting firm, providing end-to-end solutions for financial services firms and their counsel, offering litigation consultation and expert witness testimony, damages consulting, regulatory and internal investigation support, compliance solutions, and AML and financial crimes investigation services. 

An experienced securities litigation attorney, Susan has represented major broker dealers, insurance companies, clearing firms and their employees on a variety of matters before FINRA, the SEC and state and federal courts in connection with customer, industry and employment disputes, as well as compliance and regulatory matters.  She has successfully defended, mediated and settled claims involving suitability, speculative products, hedge funds, overconcentration, fraud, churning, misappropriation, negligence, fiduciary duty, failure to supervise, Form U4/U5, and wrongful termination/discrimination.  She is experienced in advising clients, working with experts, and devising strategic approaches in securities arbitration and litigation matters.

Susan is the immediate past Chair of New York County Lawyers’ Association’s (NYCLA) Committee on Securities & Exchanges, where she led a group of over 150 securities attorneys, successfully engaging members, industry leaders and regulators.  

Susan brings her securities litigation and legal experience to Bates in her role of Managing Director NY/NJ, where she handles external relations with Bates Group’s clients, strategy, practice and expert engagement, and oversees company communications.  As head of Bates Research, Susan utilizes her ABA award-winning journalism background as a Legal Editor and a Reporter for the New York Law Journal and Editor with the National Law Journal/ALM Marketing.  Her work has contributed to Bates Group’s significant growth and nation-wide roster of 135 experts covering over 250 areas of financial services expertise.

A leader in advancing women’s rights, Susan is the founding Chair of the New York State Bar Association’s (NYSBA) new Women in the Law Section, having previously served as Chair of NYSBA’s Committee on Women in the Law and its Legislative Affairs Subcommittee.  She is a Past President and Chair of the Board of Directors of the Financial Women’s Association (“FWA”) of New York, Inc., where she also served as FWA’s General Counsel and Board Restructuring Chair.  In 2016, she was honored as an “FWA Public Sector Woman of the Year.”

A member of the New York and New Jersey Bars, Susan is admitted to practice before the New York and New Jersey state courts and the U.S. District Courts for the Southern District and Eastern District of New York and of New Jersey.  She possesses a B.A. in Business Management from Simmons College, Boston, and a Juris Doctor degree from New York Law School (with highest honors).  She is a proud member of NYCLA’s Board of Directors and is a frequent lecturer at securities law and women’s advancement programs.

Prior to beginning her law career, Susan conducted an international business throughout Western and Eastern Europe, the Middle East, Asia and the Caribbean.

Susan Harper is associated with the following items:
Web Segment  Web Segment Know When to Hold Them, Know When to Show Them: A Practicum on the Use of Experts and Their Examination - Securities Arbitration 2018, Wednesday, September 26, 2018
CHB Chapters  CHB Chapters Best Practices When Working with Expert Witnesses (July 13, 2018) - Securities Arbitration 2018, Wednesday, September 26, 2018
5 Tips to Help Get the Most from Your Expert Witness - Securities Arbitration 2018, Wednesday, September 26, 2018
FINRA Tackles Arbitration Procedure Issues (March 8, 2018) - Securities Arbitration 2018, Wednesday, September 26, 2018
FINRA Rolls Out Proposal for High Risk Brokers, Addresses Examination Enhancements (May 24, 2018) - Securities Arbitration 2018, Wednesday, September 26, 2018
MP3 Audio  MP3 Audio Know When to Hold Them, Know When to Show Them: A Practicum on the Use of Experts and Their Examination - Know When to Hold Them, Know When to Show Them: A Practicum on the Use of Experts and Their Examination, Wednesday, September 26, 2018
Transcripts  Transcripts Know When to Hold Them, Know When to Show Them: A Practicum on the Use of Experts and Their Examination - Know When to Hold Them, Know When to Show Them: A Practicum on the Use of Experts and Their Examination, Wednesday, September 26, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Know When to Hold Them, Know When to Show Them: A Practicum on the Use of Experts and Their Examination - Know When to Hold Them, Know When to Show Them: A Practicum on the Use of Experts and Their Examination, Wednesday, September 26, 2018
On-Demand Web Programs  On-Demand Web Programs Securities Arbitration 2018, Wednesday, October 03, 2018, New York, NY
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