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

Bates Expert Miriam Lefkowitz to Speak at NYCLA CLE on February 15, 2017

Bates Expert Miriam Lefkowitz to Speak at NYCLA CLE on February 15, 2017

Bates Expert Miriam Lefkowitz will be a featured speaker at the New York Country Lawyers’ Association’s CLE on “Ethical, Legal and Regulatory Considerations When Practicing Before the SEC and CFTC" on February 15, 2017, 9am to noon. Sponsored by NYCLA’s Securities and Exchange Committee and Futures and Derivatives Committee

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SIFMA / Bates Group 2017 Leaders & Experts Forum

SIFMA / Bates Group 2017 Leaders & Experts Forum

Photos from the SIFMA/Bates Group Leaders and Experts Forum in New York City : “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.” 

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OCIE Issues Risk Alert of the Top Compliance Topics

OCIE Issues Risk Alert of the Top Compliance Topics

The Office of Compliance Inspections and Examinations' (“OCIE”) National Examination Program issued a Risk Alert of the “Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers.”

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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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