Homepage Content Homepage Content Homepage Content Homepage Content Homepage Content Homepage Content Homepage Content

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.

Find An Expert

End-To-End Solutions

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.

Learn More

Subscribe Callout

Stay Informed

Stay informed with the latest news, alerts and analysis from Bates Group, delivered straight to your inbox. Learn about new industry developments, recent regulatory and compliance changes, and current litigation issues. Sign up today!

Subscribe

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.

Powered By
ARB_Chek

Learn More

Recent News

Bates Managing Director Brandi Reynolds Quoted on the Pending Regulatory Framework for Crypto and Virtual Assets

Bates Managing Director Brandi Reynolds Quoted on the Pending Regulatory Framework for Crypto and Virtual Assets

Bates Managing Director Brandi Reynolds (CAMS-Audit) is quoted in a new ACAMS Insights article discussing efforts to develop a federal regulatory framework for crypto and virtual assets.

Full Article
The SEC Marketing Rule - What You Need to Know

The SEC Marketing Rule - What You Need to Know

The mandatory compliance deadline for the SEC marketing rule—which replaced the former Advertising Rule and the Cash Solicitation Rule—is November 4, 2022. Advisers should be reviewing, revising, and preparing to implement procedures and policies to prevent potential violations. There’s still time, but there’s also a lot to consider, as the rule consolidates previous SEC guidance, no-action letters and exam findings on questions concerning recommendations, testimonials, and the presentation of performance metrics. Here’s what you need to know.

Full Article
FINRA Proposes Updates to Supervisory Rule on Home Offices

FINRA Proposes Updates to Supervisory Rule on Home Offices

FINRA has filed with the SEC proposed changes to FINRA Rule 3110 to add new Supplementary Material 3110.19 (Residential Supervisory Location). The changes allow a home office to be considered a non-branch “residential supervisory location” under certain conditions. By this proposal, FINRA is adapting to a new, post-pandemic model in which employees work at both conventional offices and in their private residences—a model which FINRA acknowledges is likely to “endure.” Read the full article for details on these proposed rule changes.

Full Article

We Help Reduce Risk and Resolve Matter Outcomes.

Subject Matter Experts

Bates Group has over 175 analysts, quantitative and substantive experts nationwide to help you with your securities litigation, regulatory, compliance, forensic and damages consulting needs

Learn More

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. 

Learn More

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.

Learn More