Jennifer L. Stout Scott E. Lucas Julie R. Johnstone Andrew C. Daniel

Consultants & Expert Testimony

Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.

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Bruce P. Cramer Joseph J. Thomas Ralph Blascovich
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End To End Solution

The Bates team of consulting and testifying experts - and experienced big data and analytical professionals support arbitration, litigation, and enforcement matters, help with the complexities of internal investigations, assist in responding to and resolving regulatory investigations and examinations and prepare and assist in the implementation, review and enhancement of compliance and supervision programs and policies/procedures.

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The smart way to identify and select the best arbitrators for your case

Arbitrator Evaluator streamlines the arbitrator ranking and selection process, summarizing disclosure reports into one easy-to-read document.

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Recent News

Compliance in the Age of Robo Investment Advice

Compliance in the Age of Robo Investment Advice

Investments in robo-offerings have grown, and the application and use of algorithmic programming expanded. A new report cites data that predicts “digital advice users will increase from roughly 2 million to 17 million by 2021.” In this article, Bates Research takes a closer look at existing SEC compliance guidance on robo-advisory services and some of the enforcement concerns in this rapidly expanding marketplace.

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New Book On Becoming a Financial Industry Expert From Bates Group’s Michael Weiner Now Available

New Book On Becoming a Financial Industry Expert From Bates Group’s Michael Weiner Now Available

Renowned Bates Expert Michael D. Weiner discusses his newly published book, In My Expert Opinion: Becoming an Effective Expert in the Financial Services Industry. Working as an expert witness, he saw "the good, the bad and the ugly" in his counterparts, and from that experience grew a desire to aid both aspiring experts and their counsel. In My Expert Opinion was written to train experts in the positive aspects of expert witness work, to point out the pitfalls, and to provide a roadmap to a successful career.

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BCS Alert: FINRA’s Susan Schroeder Previews 2019 Enforcement Priorities

BCS Alert: FINRA’s Susan Schroeder Previews 2019 Enforcement Priorities

At the November 2018 SIFMA C&L New York Regional Seminar, Susan Schroeder, FINRA’s Executive Vice President and Head of Enforcement, discussed some of FINRA’s enforcement priorities heading into 2019. You can expect these to be included when the official list comes out in January. Read the full alert to preview FINRA's 2019 priorities.

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Subject Matter Experts

Bates Group has over 165 analysts, quantitative and substantive experts nationwide to help you with your securities litigation, regulatory, compliance, forensic and damages consulting needs

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Corporate Internal Investigations

Bates Group’s regulatory professionals conduct or participate in sensitive and complex regulatory and internal corporate investigations in the U.S. and throughout the world. 

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Insurance and Actuarial Litigation

Bates Group's Insurance and Actuarial practice is focused on providing cost effective solutions for your expert consulting and insurance and actuarial litigation needs.

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