Clients rely on Susan Resley’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 regulatory and internal 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 Chambers for Securities Litigation and 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 involving regulators and private plaintiffs. On numerous occasions, the SEC, US Department of Justice (DOJ), and Public Company Accounting Oversight Board (PCAOB) have declined to pursue actions against her clients, including after informing Susan of their intent to do so. Her clients include private and public companies, boards and their committees, accounting firms, brokerage and investment advisory firms, and other financial institutions. Individual directors, senior company officers, and employees also look to Susan to represent them in regulatory and private litigation where their reputations are at stake.

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 holds multiple leadership positions at Morgan Lewis. She is the leader of Morgan Lewis’s San Francisco litigation practice and is the firm’s securities trade clearance partner. She also serves on the firm’s Audit, Sarbanes-Oxley, and Investment Committees.

S11 - The SEC’s Focus on Cybersecurity – Disclosure, Enforcement and Key Guidance for 2022

May 12, 2022 3:25pm ‐ May 12, 2022 4:05pm

Speaker(s):