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 Fraud Director Geoff Winkler to Speak at ACFE Global Fraud Conference in June

Bates Fraud Director Geoff Winkler to Speak at ACFE Global Fraud Conference in June

Bates Group is pleased to announce that Geoff Winkler, CFE, Bates Group’s Director of Fraud and Forensic Investigations, will be speaking on personal liability for compliance professionals at the Association of Certified Fraud Examiners 28th Annual Global Fraud Conference in Nashville, TN, June 18th-23rd.  ACFE’s annual conference is attended by over 3000 individuals across multiple industries.  Please visit Bates Group in the exhibitor hall at booth #202.

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Meet Our New Experts

Meet Our New Experts

Bates Group is proud to announce our new Experts and Consultants Douglas Woodcock, Mark Gaudian, Peter Bale and Timothy Durno.

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SEC Gives Final Approval to FINRA Rules Protecting Seniors and Tools for Firms to Respond

SEC Gives Final Approval to FINRA Rules Protecting Seniors and Tools for Firms to Respond

The Securities and Exchange Commission gave final approval to a FINRA proposal to protect senior investors and shield financial firms from liability when reporting suspected fraud against elderly clients. We have been covering this proposal through its many stages (see Bates Reporting: here; here; here and here.) Effective February 8th 2018, new FINRA Rule 2165 (Financial Exploitation of Specified Adults) and amendments to FINRA Rule 4512 (Customer Account Information) will require full compliance.

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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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