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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RegTelligence® is a comprehensive database of all regulatory enforcement actions developed by Bates Group LLC, the nation’s leading provider of financial services expertise. RegTelligence® provides data solutions for companies seeking information about enforcement actions, outcomes, penalties and sanctions in a simple, comprehensive dataset.  RegTelligence® combines robust data (both current and historical) with smart tagging designed to facilitate easy analysis of enforcement activity by product, issue, regulator, firm, and many other possible criteria.

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Recent News

SEC Announces 2017 Examination Priorities

SEC Announces 2017 Examination Priorities

The SEC has announced their examination priorities for 2017.

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FINRA Announces 2017 Regulatory Priorities

FINRA Announces 2017 Regulatory Priorities

FINRA has announced their regulatory and examination priorities for 2017.

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Program Announced - SIFMA/Bates NYC Leaders & Experts Forum, January 26, 2017

Program Announced - SIFMA/Bates NYC Leaders & Experts Forum, January 26, 2017

Join leading in-house and outside counsel, regulators and experts on Thursday, January 26th in NYC for the 2017 SIFMA/Bates Group Leaders & Experts CLE Forum: "Successfully Managing Regulatory Investigations and Enforcement Matters in the Big Data Age." Early Bird Registration is now open.

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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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