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SECURITIES & EXCHANGES
Co-Chair
Susan L. Harper

Office Address
Bates Group, LLC

Phone: 503-724-6673
Fax: 503-670-0997
Email: Sharper@batesgroupllc.com


Susan L. Harper, Esq. is a litigation attorney who represents major broker-dealers, insurance companies, clearing firms and their employees throughout the United States on a variety of matters before FINRA, 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 wrongful termination/discrimination, suitability, speculative products, over concentration, fraud, churning, misappropriation, negligence, fiduciary duty, failure to supervise and Form U4/U5 related matters.

Susan is the immediate past Co-Chair of NYCLA’s Women’s Rights Committee and a member of the New York State Bar Association’s Committee on Securities Litigation and Arbitration and Committee on Women in the Law’s Legislative Affairs Subcommittee. She is also a member of the Midtown Regulatory Group (compliance and securities professionals).

Susan is President-Elect of the Financial Women’s Association of New York, Inc. and a member of FWA’s Board of Directors and Executive Committee. In 2010-2011, she served as General Counsel of the 56-year-old business and finance association, whose membership is made up of high achieving professionals from every sector of the finance world.

An ABA award-winning writer, Susan possesses a journalism background, having served as a business reporter and legal editor for the New York Law Journal and an editor for the National Law Journal/ALM Marketing. Prior to beginning her law career, Susan conducted an international business throughout Western and Eastern Europe, the Middle East, Asia and the Caribbean.

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.

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