Bates is proud to welcome Mike Bernardo as the new Managing Director of Bates Compliance Solutions.

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Our End-to-End Solutions assist financial services firms and their counsel throughout the lifecycle of their legal and regulatory matters.

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Bates Group has over 100 consultants and testifying industry experts spanning over 250 unique areas of expertise to cover your litigation, regulatory, AML, compliance, forensic and damages analysis needs.

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Bates Group conducts AML investigations including lookback and BAU transactions involving negative news, fraud, regulatory subpoena, free looks and transactional analysis.

Bates AML Investigations

Did you know? Bates Group now provides consulting and expert testimony for Energy, Oil & Gas disputes.

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Bates is honored to be voted a Best Securities Litigation Consulting firm in 2016 by the readers of the New York Law Journal for the second year in a row.

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We are vested in your success! Bates Group provides financial schedules training and substantive financial-related CLE programs to meet your legal staff needs.

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Case Assessment, Data & Damages Analyses

Fraud and Forensic Investigations

Securities and Financial Services Litigation & Consulting

Regulatory & Internal Investigations

Compliance Solutions

Insurance & Actuarial

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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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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Recent News

Leadership Spotlight: Bates President & CEO Jennifer Stout and COO Ben Pappas at the NYSE

Bates President & CEO Jennifer Stout and Chief Operating Officer Benjamin Pappas visited the floor of NYSE to watch the opening bell.

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Bates Group Welcomes New Compliance Solutions Leader Michael Bernardo

Bates Group is pleased to announce the appointment of Michael “’Mike” Bernardo as Managing Director of Bates' Compliance Solutions (BCS) practice. As former Managing Director of a Big Four regulatory consulting practice, Mike brings to Bates Group decades of outstanding Compliance, Regulatory and Surveillance experience within the Securities, Banking and Insurance Industries, including with NYSE Regulation, Morgan Stanley, Smith Barney/Citigroup, and UBS.

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Meet Our Banking Experts

Bates Group is proud to announce our Banking Experts and Consultants Jim Embersit, Susan Faulkner, Martin Feuer and Gene Kirby.

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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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