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Barbara A. Halper, JD, MBA

Barbara A. Halper, JD, MBA

Barbara A. Halper, Esq. is a Bates Consulting and Testifying Expert, 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.  

Barbara provides comprehensive and a realistic perspective and assessment of potential and various issues as well as methods for addressing those issues based on her experience as follows:

  • Direct involvement in the assessment and remediation of issues related to seniors through the successful management of large senior healthcare facilities
  • Focus on Corporate Litigation Management while earning an MBA
  • Applying her law degree to resolution of litigation matters and issues
  • Due diligence and compliance consulting services related to due diligence and selection of alternative investments by independent broker dealers  
  • Employment as the Chief Operating Officer by a Sponsor of alternative investment products
  • Participant as an expert witness in FINRA arbitrations and civil court cases related to the due diligence, suitability, and compliance of alternative investments    

 


       

Barbara is a consultant and subject matter expert in these Practice Areas and Services:

Credentials

EXPERIENCE

Bates Group LLC, Consulting and Testifying Expert, 2020 - Present
Halper & Joseph, PLLC, Partner, 2018 – 2020
Halper Law Office, President, 1992 – 1999, 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 (JD), Cum Laude, William Mitchell College of Law, St. Paul, MN
Master of Business Administration (MBA), University of St. Thomas, St. Paul

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

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.