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

Update: Customer Due Diligence Rule Now in Effect

Update: Customer Due Diligence Rule Now in Effect

Despite some last minute pushback, the Financial Crimes Enforcment Network’s (FinCEN) long-anticipated Customer Due Diligence Requirements for Financial Institutions (CDD Rule) became fully effective on May 11th. The CDD Rule, which was proposed initially in August 2014, amends Bank Secrecy Act regulations to clarify and strengthen customer due diligence obligations for financial institutions. FINRA stated that the purpose behind the CDD Rule is “to improve financial transparency and prevent criminals and terrorists from misusing companies to disguise their illicit activities and launder their ill-gotten gains.”

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Update: DOL Issues Non-Enforcement Policy on Fiduciary Rule

Update: DOL Issues Non-Enforcement Policy on Fiduciary Rule

Following the recent federal court decision to vacate the fiduciary duty rule, the Department of Labor released a Field Assistance Bulletin setting forth a temporary enforcement policy applicable to investment advice fiduciaries. The new policy is intended to address uncertainty about fiduciary obligations formerly required by the DOL rule, or under the Best Interest Contract Exemption, the Principal Transactions Exemption and certain amended prohibited transaction exemptions (collectively PTEs).

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Join us at the NYC Bar Association’s White Collar Crime Kickoff Reception

Join us at the NYC Bar Association’s White Collar Crime Kickoff Reception

Join Bates as we co-sponsor the NYC Bar Association’s White Collar Crime kickoff reception, Tuesday, May 8, 2018 at 6:30 PM. Meet Bates CEO Jennifer Stout and Directors Sejal Patel and Beth Finkle to learn about our Financial Crimes Practice.

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We Help Reduce Risk and Resolve Matter Outcomes.

Subject Matter Experts

Bates Group has nearly 100 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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