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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

2018 SEC Exam Priorities and Pronouncements: Compliance Insights for Success Webinar

2018 SEC Exam Priorities and Pronouncements: Compliance Insights for Success Webinar

Join Robert Lavigne, Managing Director, Bates Compliance Solutions as he walks us through a 20-minute webinar focusing on the 2018 SEC-OCIE Exam Priorities and what compliance professionals should be focusing on now.

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Regulators Offer More Guidance as AML Rules Near Effective Date

Regulators Offer More Guidance as AML Rules Near Effective Date

Away from the headlines, federal and state regulators continue to prepare financial institutions for their new anti-money laundering compliance obligations. In the past few weeks, the Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) and FINRA provided additional guidance to covered institutions on how to comply with rules that are set to go into effect next month. In New York, the certification provisions of the Department of Financial Services (“NYDFS”) BSA/AML rules went into effect. Bates research has the highlights.

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Alert Update: SEC Mutual Fund Share Class Disclosures

Alert Update: SEC Mutual Fund Share Class Disclosures

The SEC Division of Enforcement announced a "Share Class Selection Disclosure Initiative" intended to protect and reimburse investors from an adviser’s conflict of interest. The SEC initiative offers an incentive to advisers and associated entities to self-report conflicts of interest that are in violation of Investment Advisers Act (12b-1) fiduciary duties regarding fees collected on mutual fund share classes, when lower-cost share classes of the same fund were available. The deadline to conduct this analysis, address these issues, and self-report is Tuesday, June 12th – only seven weeks away.

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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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