Barbara A. Halper, JD, MBA

Barbara A. Halper, JD, MBA

Partner

BHalper@batesgroup.com 

Barbara A. Halper, Esq. is a consultant for the Bates Group, a leading provider of securities litigation support, regulatory and compliance consulting, and forensic accounting services to Fortune 500 companies. Barbara provides the clients of Bates with proactive risk assessment, training, testing, and management services that support businesses in meeting compliance-related needs with a focus on proactive services in meeting Best Interests regulatory requirements. She also provides strategic litigation and arbitration support from the sale of alternative investments. She has 13 years of experience providing expert witness services related to a variety of litigation focused upon compliance.

Barbara’s experience has resulted in support services such as contractor and employee education and monitoring programs related to the sale of investment products to seniors. In 2019, she published a book for support staff entitled Seniors and Vulnerable Adults: Compliance Considerations for Financial and Investment Services Providers. Barbara also provides consultation and services designed to provide Bates’ clients with proactive measures for supervising the sale of securitized products by contract or employee sales contractors or employees who may be subject to issues related to their advancing age or infirmity. 


       


Credentials

EXPERIENCE

Halper & Joseph, PLLC, Partner, 2018 – 2020

Halper Law Office, President, 1992 – 1999 and 2016 – 2018  

Commercial Real Estate Development and Management, 1983 – 2020

Factright LLC and Affiliates, Founder, Principal and Chief Legal Officer, 2006 – 2016

Argus Realty Investors, LLC, Chief Operating Officer, 2004 – 2006

Commonwealth Financial Network, Due Diligence Officer, 2003 – 2004

State of Minnesota, Magistrate, Major and outstate Minnesota counties, 1997 – 2003

Popham, Bloomquist & Halper P.A., Partner, 1999 – 2001

Swaden and Olup and Subsequently Swaden Law Office, Attorney, 1989 – 1992

William Mitchell College of Law, Research Assistant, 1988 – 1989

Federal Magistrate Bernard Becker, Federal Law Clerk, 1988 – 1989

Health Care Facility Administrator, 1983 – 1988

EDUCATION

Juris Doctorate (J.D.), William Mitchell College of Law, St. Paul, MN, Cum Laude, 1989

Master of Business Administration (M.B.A.), University of St. Thomas, St. Paul, MN, 1985

PROFESSIONAL QUALIFICATIONS/LICENSING

Current: Licensed to practice law in Minnesota

Former: Minnesota Real Estate Sales License 

FINRA Licenses:  22, 63, and 39

Long Term Health Care Facility Administrator

PUBLICATIONS

Seniors and Vulnerable Adults:  Compliance Considerations for Financial and Investment Services Providers

Articles on general business management in publications such as Citibusiness; various articles in legal, community, and equine publications for professionals and laypersons.

APPOINTMENTS

Waconia Commission on Aging

Minnesota State City Consolidation Commission             

Minnesota State Nursing Home Task Force

BOARD MEMBERSHIPS

Board of Director, Vice-Chair, American Women’s Financial Foundation, 2014 – 2016

Board of Director, Alternative and Direct Investment Securities Association (ADISA), 2014 – 2016

Recipient of Distinguished Service Award, 2016

CONFERENCES

Chair of the ADISA 2016 Annual Conference

Chair of the ADISA 2015 Spring Symposium

Various industry conference presentations and seminars on issues that are related to and include, but are not limited to commercial real estate, securitized commercial real estate such as REITS, TICs, DST’s plus other types of securitized products such as BDC’s, Oil and Gas investments; and other types of funds related to multiple types of industries and products.

LEGISLATION

Lobbied for healthcare reform and funding for long term healthcare facilities; commercial real estate and tax deferred exchange related legislation; bills regarding liability laws, and banking laws

Automat:ee