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.
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
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
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
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.
Waconia Commission on Aging
Minnesota State City Consolidation Commission
Minnesota State Nursing Home Task Force
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
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.
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
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