Bates Group - Financial Consulting Firm with End-to-End Solutions

Search

Search

Deep Industry Expertise, Customized Approach

Compliance, Litigation, Regulatory & Data Analytics for Financial Services Companies

 

Services

Select Client Type for Personalized Solutions

Go

Proven Expertise = Valuable Insights

The Bates team consists of seasoned industry professionals with decades of proven success, dedicated to delivering impactful solutions.

Unmatched Depth Over 250 specialized areas of expertise across a variety of industries.

Top Industry Talent Voted as one of the premier workplaces for 2024 by the Oregonian.

Data-Driven Results Billions of data points analyzed across thousands of engagements.

Client-First Approach 95% satisfaction rate, reflecting our commitment to your success.

Leading the Way in Compliance, Data Analytics, Litigation and Regulatory Support for Financial Services

As one of the most heavily regulated industries in the world, financial services companies frequently need access to deep industry knowledge and support beyond simple “off-the-shelf” consulting. That’s where Bates Group steps in, with its over 40 years of industry presence and customized approach. Whether you are a Fortune 500 full-service firm or a startup, our team delivers practical advice, analysis, and expertise to help you with Compliance, Disputes, or Investigations.

Headshot of Jennifer STOUT

Jennifer STOUT

Senior Executive Advisor
Headshot of David BIRNBAUM

David BIRNBAUM

Director, Business Development

Headshot of Brandi REYNOLDS, CAMS-Audit

Brandi REYNOLDS, CAMS-Audit

Chief Growth Officer, Fintech
Headshot of Ira Hammerman

Ira Hammerman

Director, Business Development

Headshot of Alex RUSSELL

Alex RUSSELL

Sr. Director, Regulatory & Litigation
Headshot of Rhonda DAVIS, JD, CAMS, CFE

Rhonda DAVIS, JD, CAMS, CFE

Sr. Director- BD/RIA Compliance
Headshot of Kurt WACHHOLZ

Kurt WACHHOLZ

Director, Bates Compliance
Headshot of Hank SANCHEZ

Hank SANCHEZ

Director, Bates Compliance
Headshot of Paul LAMBERT

Paul LAMBERT

Sr. Director, Business Development
Headshot of Benjamin PAPPAS

Benjamin PAPPAS

CEO

Thousands of Firms Trust Bates

Partnering with leading financial institutions, law firms, and financial services companies to deliver expert solutions for litigation, regulatory, AML, and compliance challenges.

It brings peace of mind to work with a compliance advisor who stays one step ahead of regulatory trends, has or finds the answers to our questions, and keeps our firm on track—year after year.

Joslyn, Chief Compliance Officer

RIA Compliance

Brandi has always been a top-notch professional. She is extremely respected and knowledgeable in her field. Highly motivated and ready to tackle any situation. Brandi has always been my go-to person for any AML related questions I may have.

Daphne

AML Compliance

My experience working with Bates Group has been nothing but exceptional; they have proven to be professional, ethical, and supportive. Their attention to detail is extraordinary and highly appreciated. We strongly recommend their services and jump in on emergency projects without fail.

Lauren, Senior Compliance Officer

AML Compliance/Training

I have practiced over 45 years as a lawyer focusing upon securities arbitration, litigation, and regulatory matters, and attorney and accountants malpractice. I have never met or worked with a finer group of people and forensic experts as the people in the Bates Group.

Attorney

Litigation and Regulatory

I work with the experts at Bates because I trust their analysis. They provide me with accurate answers quickly and jump in on emergency projects without fail.

Sandra

Data Analytics

We have engaged Bates Group for the most critical tasks on more than one occasion. Brandi and Matt are detail-oriented subject matter experts. The compliance landscape is non-static. We have found it is critical to engage a company that can work with you over time. Bates Group delivers.

Paul

Fintech and Banking

Bates Group is always my first call for litigation and arbitration support services. I have worked with them for years and have never been dissatisfied with the work performed.

Jack, Managing Principal, Houston legal services

Litigation and Regulatory

Thank you for your support in this matter, and Joe successfully brought the P&Ls in and was in essence our record custodian as to online hits, which was extremely helpful to avoid having someone else having to authenticate the documents. It was a pleasure as always to have Joe out on a case.

Nuviah, Banking

Litigation and Regulatory

I have been impressed with the substantive securities law expertise, forensic accounting and analytical skill, and thoughtfulness of the Bates employees with whom I have worked. In particular, Jen Cunningham is extremely responsive and knowledgeable and has been helpful when I needed assistance. Alex Russell has also impressed me with his work product and work ethic.

Attorney

Litigation and Regulatory

Stay Dialed in with Bates Group

Research

Asset Tracing: Building a Financial Roadmap to Resolution

In complex litigation, asset tracing serves as a critical tool for uncovering financial truth and informing legal strategy. Our latest article from Managing Consultant Lindsey Dean outlines how methodical financial analysis can help build a "yellow brick road" that leads your case to resolution.

Learn More >

Search

Search