Bates Compliance Solutions will be at the 2017 NSCP National Conference October 16 - 18 at the Omni Shoreham in Washington, D.C. Visit Bates at Table #16.

Conference Details

Bates is proud to be a platinum sponsor and presenter at the 2017 IBDC Annual Conference, September 26 – 28 in Rancho Mirage, California.

Conference Details

Bates Group welcomes 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

Meet the Newest Bates Group Experts

Bates Group is proud to introduce our newest Experts: Bill Jannace, Barry Koch, Bob Kopprasch and Jeff Mazer.

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Part 3 - David Birnbaum on Compliance Audits & Practice Value for FP Transitions’ Roundtable

We are pleased to share the conclusion of FP Transition's video roundtable series featuring Bates Managing Director David Birnbaum.

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Senior Investors Update: New Developments Signal Tough Line on Elder Financial Abuse

A FINRA arbitration panel recently assessed over $1.5 million in costs, disgorgement and punitive damages against a privately held financial services and investment firm in relation to allegations of senior financial abuse and violations of state and federal securities laws (among other claims). The outcome of this case, together with a new North American Securities Administrators Association (NASAA) "Pulse Survey" of state securities regulators on the topic of senior financial fraud, and a newly announced National Association of Attorneys General senior financial fraud initiative are the latest chapters in the story of an industry working to address elder and vulnerable clients. Bates Group has been following both the federal and state efforts to help seniors and other vulnerable investors.

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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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