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Expertise, Knowledge, Experience, and Data-Driven Solutions to Achieve Your Litigation, Regulatory, AML & Compliance Success

Our Practice Solutions

Who we are

Who we are

Bates Group is a leading financial services consulting firm in the United States. We have been a trusted partner to financial services firms and counsel for over 40 years. Our professional services staff and 175+ industry experts and consultants offer services in litigation consultation and expert testimony, regulatory and internal investigations, compliance and AML solutions, state licensing support, P/L reports, damages consulting, big data analyses, forensic accounting, and expert compliance training.  

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Who we serve

Who we serve

We work with the nation’s leading multinational and regional banks, financial institutions, insurance companies, and law firms, as well as established and start-up broker-dealers, investment advisers, and funds, money services businesses (MSBs) and non-bank/non-depository institutions, including blockchain, virtual asset and cryptocurrency companies, and precious metal dealers.

Our dedication to meet our clients’ needs is our greatest priority and pride. 

What Our Clients Say About Bates

Find Your Expert

Find Your Expert

Bates boasts the largest roster of financial industry consultants and experts. Whether you are seeking an options or margin expert, suitability, Reg BI, big data, damages, or insurance testifying expert, AML or compliance project or ongoing consultant, the experts at Bates cover over 250 unique areas of financial services and non-banking financial institution knowledge and expertise.

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Meet Our Money Services Business (MSB), FinTech and Crypto Team

Meet Our Money Services Business (MSB), FinTech and Crypto Team

Experience Matters: Bates Group's MSB, FinTech and Virtual Assets team provides expert advice and industry best practices for BSA/AML/OFAC Compliance, Independent Reviews, State Licensing (MTL, Virtual Currency), Team Training, and more.

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At Bates Group, we offer comprehensive services to support you throughout your professional obligations and needs.

We understand that every matter has different intricacies, and that each client has different needs. Our agile team of deeply experienced professionals will customize a solution to ensure your case or project needs are addressed.

The Bates team is made up of former industry practitioners. When we say we understand your situation, your concerns and your needs, we mean it. It’s our top priority to provide you with powerful solutions that help you reach success.

Our People Make The Difference

Bates Group’s consultants and testifying experts are all outstanding practitioners in their fields. Our nation-wide roster of over 175 quantitative and substantive consultants and experts span 250 unique areas of expertise. Find the right expert for your matter today.

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40+

Years Of Expert Consulting And Expert Testimony

300+

Professional Staff And Top Industry Affiliates

Billions

Of Lines Of Data Analyzed; Thousands of Engagements

Recent News

FINRA 2023 Exam and Risk Monitoring Report with Bates Chart and Summary – Prioritizing the Priorities

FINRA 2023 Exam and Risk Monitoring Report with Bates Chart and Summary – Prioritizing the Priorities

Issued on January 10, 2023, the comprehensive report from FINRA’s regulatory operations covers 24 topics addressing issues that "remain perennially important, with updates to reflect evolving risks, industry trends and findings from FINRA’s recent oversight activities." In this article, Bates summarizes FINRA’s continuing and emerging examination priorities. Our annual chart offers insight into how newly observed risks have added to and affected those priorities year over year.

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New Cryptoasset Certification from ACAMS and Bates Group

New Cryptoasset Certification from ACAMS and Bates Group

Bates Group consultants Brandi Reynolds and John Ashley have combined their expertise with other AML, cryptoasset and law enforcement professionals to create an innovative new certification for financial crimes in the crypto space -- the “Certified Cryptoasset AFC Specialist" (CCAS) Certification from ACAMS.

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