Clients rely on Susan Resley’s guidance to counsel and defend them in regulatory matters concerning accounting and disclosure issues (including relating to environmental, social, and governance (ESG)), insider trading, the Foreign Corrupt Practices Act (FCPA) (including due diligence and compliance), internal controls, cybersecurity concerns, whistleblower-related issues, and US Securities and Exchange Commission (SEC) and 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 obtained 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, even 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.
Susan was recognized as one of the Top Women Lawyers in California in 2019 by the Daily Journal and named to the Enforcement 40, a list of the top enforcement lawyers in the United States, by Securities Docket. She is recommended by Chambers USA for Securities Litigation and The Legal 500 US for White Collar Criminal Defense, Corporate Investigations, and Securities Litigation.
Before joining Morgan Lewis, Susan was a securities litigation partner at an international law firm. Prior to that, she held a partnership role at a global law firm. She also brings her government experience to her clients, as she worked for the SEC before starting in private practice. At the SEC Division of Enforcement in the 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 is often quoted by several news and legal publications.
Susan holds multiple leadership positions at Morgan Lewis. She is the leader of the 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.
SEC and Securities Litigation
SEC and Securities-Related Regulatory Investigations
Audit Committee and Internal Investigations
Recognized, Litigation - Regulatory Enforcement (SEC, Telecom, Energy), San Francisco, The Best Lawyers in America (2023)
Ranked, Litigation: Securities, California, Chambers USA (2021, 2022)
Recognized, Enforcement 40, Securities Docket (2020)
Recognized, Securities Litigation, Northern California Super Lawyers (2020–2022)
Top Women Lawyers in California, Daily Journal (2019)
Recommended, Dispute resolution: Corporate investigations and white-collar criminal defense, The Legal 500 US (2019–2022)
Recommended, Dispute resolution: Securities litigation – defense, The Legal 500 US (2019, 2020)
Recommended, White Collar Criminal Defense, The Legal 500 US (2014)
Member, Securities Editorial Advisory Board, Law360 (2019–2021)
Member, Law Firm of the Year, Securities Regulation, US News/Best Lawyers – Best Law Firms (2019)
Member, State Bar of California
Member, Business Litigation Committee, American Bar Association
Member, Association of SEC Alumni (ASECA)