Leadership

Jennifer L. Stout

Jennifer L. Stout

Chief Executive Officer

Jennifer began her journey to Bates Group CEO as a CPA at a Big Five accounting firm before being recruited to Bates, where she grew from her first position 25 years ago as a financial analyst into the senior executive leadership role she fulfills today.  Jennifer has worked at every level within our organization, and understands how we work, and how we can help our clients, better than anyone. Today Jennifer is a key driver of growth at the company, expanding Bates’ practice groups and service lines at every opportunity in order to ensure that Bates' clients nationally and internationally are receiving exceptional support in all challenges they face.

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Benjamin R. Pappas

Benjamin R. Pappas

President

As President of Bates Group, Ben uses his strategic planning and finance background to set direction and financial policy while also being an active participant in, and driver of, the company’s overall strategy. He previously served as Bates' Chief Operating Officer. Prior to joining Bates Group, Ben was Senior Vice President and Chief Operating Officer of D.A. Davidson Companies’ Equity Capital Markets business, where he was responsible for the implementation of strategic growth initiatives and the development of an annual financial budgeting and forecasting process. He has also previously worked as an equity research analyst and strategic planning analyst focused on the technology industry, after beginning his career as a financial advisor at Merrill Lynch.

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Tony Ogden

Tony Ogden

Chief Legal & Administrative Officer

Tony Ogden is the Chief Legal & Administrative Officer of Bates Group. In this role, Tony has executive oversight responsibility for Bates Group’s legal aspects including contracts, governance, compliance, and risk management as well as management of practice support, information systems, and administrative functions. Tony comes to Bates from the federal service, most recently as Deputy Inspector General for the Board of Governors of the Federal Reserve System & Consumer Financial Protection Bureau Office of Inspector General in Washington, D.C., where he was responsible for overall executive leadership and program responsibility for audits, investigations, and strategic initiatives to prevent and detect fraud, waste, abuse, and mismanagement, as well as violations of law, rule, or regulation. Prior roles include Colorado Assistant Attorney General and a litigation attorney in private practice.

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Julie R. Johnstone

Julie R. Johnstone

Managing Director, Retail Litigation

Julie began her career in the audit department at Ernst & Young and continued her audit focus at Symonds, Evans & Company. Her talent for consulting at the controller level inspired Julie to start her own business, Johnstone Accounting Solutions. In 2001, she began providing consulting services to Bates Group and we never let her leave. Julie's current role is as a Principal in our organization, where we leverage her expertise as a practice leader and Managing Director of the Retail Litigation group and Data, Analyses and Analytics practice. Our clients receive the highest standard of work from Julie, leaving us confident that our core business is in the right hands.

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Andrew C. Daniel

Andrew C. Daniel

Director, Securities Litigation Expert and Consultant

Andrew began his career in the audit group of Cooper & Lybrand. In his 13 years at Bates, Andrew has played an integral role in managing securities litigation cases and investigations as well as becoming one of Bates' most experienced testifiers. Andrew has also been instrumental in driving business development, envisioning and developing new solutions we offer our clients, and expanding the practice areas Bates now offers. Andrew is a Bates Director and an expert and consultant in our Securities and Financial Services Litigation group and Data, Analyses and Analytics practice, where we are fortunate to have someone whose eyes are always trained on the horizon, making sure that Bates Group is well positioned for whatever comes next.

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Scott E. Lucas

Scott E. Lucas

Managing Director, Regulatory and Internal Investigations

Scott began his career at Bates Group in 1996. Recognizing that he started at the best in the industry, he hasn’t had any desire to leave. We’re glad too, because his deep knowledge of all aspects of our practice has contributed heavily to the evolution that Bates has undergone. While still active in our Securities Litigation practice area, Scott's focus has shifted to our Internal and Regulatory Investigations practice, of which he is currently Managing Director. The depth of Scott's experience in securities litigation has lead to a  growth in this new practice area, as clients are confident in his ability to deliver (and so are we). 

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Alex Russell

Alex Russell

Managing Director, Securities Litigation & Regulatory Enforcement

Alex is the Managing Director of Securities Litigation & Regulatory Enforcement, responsible for managing cases related to institutional disputes involving trust or banking entities, or cases related to investment banking or sales & trading, as well as those involving ultra-high net worth individuals. In addition, Alex is responsible for managing matters involving the assessment of economic damages.  As an expert, he provides quantitative witness testimony in the Securities Litigation practice area, and substantive testimony related to valuation practices and mathematical modeling in the field of finance. Alex is an adjunct professor of finance at both Linfield College and in the Graduate School of Management at Willamette University.

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Josephine Vu

Josephine Vu

Director of People and Culture

Josephine Vu is Director of People and Culture at Bates Group, where she uses her Human Resources (HR) experience to lead the firm in developing and executing HR strategy and Bates Group culture initiatives that support both the business plan and strategic direction of the organization. Prior to Bates, she served as Senior Director of HR and Talent for FoodCorps, Inc. and has held HR leadership positions at the American Pharmacists Association and the Atlantic Media Company. Josephine received her Master’s of Science in Strategic Human Resources Management from Johns Hopkins University.

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Peter J. Klouda

Peter J. Klouda

Director, Operations

Peter joined Bates in 2002 having previously worked at Merrill Lynch and a regional bank. Clients quickly noticed the extra benefit his industry experience brought to the table, allowing him to better develop case strategy with clients on securities litigation matters and to provide additional insights as a quantitative testifier. In addition to his client and case work in the retail securities litigation area, Peter works closely with Jennifer Stout and Margaret Terry as Bates Group's Director of Operations, overseeing staff development, technology solutions and client management for the firm. Peter provides valuable perspective to our clients externally, and provides valuable guidance to the growth of our firm internally. He handles both roles capably.

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Susan L. Harper, Esq.

Susan L. Harper, Esq.

Managing Director, NY/NJ

Susan joined Bates in 2012 and is the New York/New Jersey onsite Managing Director. An experienced securities attorney, journalist, U.S. and international marketing and business professional, she is an active member of the New York and New Jersey bars and financial services community, where she holds multiple leadership roles. Susan handles external relations with Bates Group’s clients, as well as new strategic relationships with major corporations and law firms in the areas of complex litigation, securities litigation, arbitration and regulatory matters. Because of her previous experience, she is able to bring a high level of understanding to their problems and needs. Susan leads company-wide strategic communications and is involved with expert engagement. Susan brings energy and focus to everything she is involved in, and that combination has led to tremendous growth for our firm. Her knowledge allows Bates to stay on top of issues affecting our clients, and to provide valuable insights to new and existing clients that showcase our services, product offerings and experts' perspectives on those issues.

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Ralph Blascovich

Ralph Blascovich

Managing Director

Ralph is a former Deputy General Counsel, Assistant Corporate Secretary and Director of Global Litigation for E*TRADE Financial. Prior to joining E*TRADE, Ralph was Deputy Regional Counsel for Prudential Securities. In 2011, we asked Ralph to join us as an expert witness and to launch our compliance consulting group.  Ralph continues to work nationwide through Bates Group as an expert witness, regulatory and compliance advisor, and litigation consultant.

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David Birnbaum

David Birnbaum

Managing Director, Business Development and Strategy

David is a Bates Managing Director focused on business development and strategy. David brings a passionate, focused commitment to his role at Bates Group, with an emphasis on generating new client business and expanding current practice areas. At Bates, David's leadership role includes nationwide business development and expert recruitment for our litigation, internal & regulatory investigation, regulatory enforcement and compliance practices. He brings a wealth of knowledge based on his 27 years of in-house counsel experience as the principal legal executive and adviser to Merrill Lynch’s U.S. and international wealth management businesses, where he successfully delivered legal, compliance, regulatory and business advice resulting in profitable business execution with the highest standard of integrity. David's experience comes from a vantage point that afforded him a high level of vision within a major financial institution. As a result, he brings the benefit of this experience to our clients, partnering with them to provide solutions to problems they face and suggestions for those that may not have materialized yet. David helps create the fit between what our clients need and what Bates does.

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Robert Lavigne

Robert Lavigne

Managing Director, Bates Compliance

Robert “Bob” Lavigne is Managing Director of Bates Compliance, Bates Group’s compliance consulting practice, where he draws on nearly 20 years of experience with investment adviser, broker/dealer firms, and trust companies in compliance, risk management, financial regulations, ethics and operations. Bob is an experienced compliance professional with a regulatory background and an established record of creating and supervising exceptional compliance and supervision systems. Bob comes to Bates from PwC, where he worked with investment companies, broker-dealers, banks, insurance companies and trust companies. He also has experience supporting investment advisers and registering new affiliated broker-dealers. Prior to joining PwC, Bob was the Chief Compliance Officer of a registered investment adviser and broker-dealer and also a senior examiner at the Boston district office of FINRA. 

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Hank Sanchez, Esq.

Hank Sanchez, Esq.

Managing Director

Henry “Hank” Sanchez, Jr. is a Bates Group Managing Director and a seasoned compliance and legal professional with over 30 years of securities industry experience in risk management, investment advising, financial legal issues, risk assessment, and compliance and due diligence. Before coming to Bates, Hank held senior compliance leadership roles at a consulting firm in New Orleans and with LPL Financial Corporation. Prior to this, for more than 10 years, Hank was a regulator with both the SEC and FINRA. He is also a FINRA Arbitrator. Hank is a frequent speaker at securities industry conferences and an accomplished writer, whose work has appeared in securities industry-related publications throughout his career.

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Greg Faucher

Greg Faucher

Managing Consultant, Insurance & Actuarial Services

Greg Faucher is a managing consultant for Bates Group, where he leads the Insurance and Actuarial practice. Before joining Bates Group, Mr. Faucher was a senior consultant with LECG / Bates Private Capital Incorporated, where he used his experience in accounting and finance to provide detailed forensic analyses of account activity related to securities litigation cases. Mr. Faucher began his career as an agent/registered representative with Northwestern Mutual/Robert W. Baird & Co. where he provided professional consulting services to individuals and business owners. As leader of the Insurance and Actuarial practice, Greg is focused on delivering exceptional and cost effective solutions for our annuity, life, disability, property & casualty, employer/employee, reinsurance, captive and healthcare clients.

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Edward Longridge

Edward Longridge

Managing Director, Bates AML and Financial Crimes

Ed brings nearly 20 years of distinguished experience as a financial services AML Compliance and Financial Crimes leader at major financial institutions. Ed comes to Bates from Oppenheimer & Co., where he served as the Chief AML Compliance Officer, responsible for the Global AML, Financial Crime and Sanctions Program. Prior to Oppenheimer, Ed oversaw Citibank’s OneKYC program for the Mexico and Latin America regions and served as head of AML Compliance for Deutsche Bank - Private Wealth Management in New York, as well as on Morgan Stanley and Smith Barney KYC/AML teams in London. At Bates Group, Ed leads the Financial Crimes team, providing AML and regulatory response consulting, fraud investigations and forensic accounting services, and white-collar crime consultation and testimony support.

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A. Christine Davis, CPA, CFF, CVA, CGMA

A. Christine Davis, CPA, CFF, CVA, CGMA

Director, Forensic Accounting and Financial Crimes

Based in Bates Group’s San Francisco office, Christine has over twenty-six years of forensic accounting, audit, tax and dispute consulting experience. In addition to being a Certified Public Accountant in California, New York and Oregon, and she is a Certified Valuation Analyst and holds the AICPA’s Certified in Financial Forensics credential. A published author and experienced public speaker, Christine is frequently retained as a consulting and testifying expert for complex commercial litigation and regulatory matters and as a forensic accountant for fraud or accounting investigations. In addition to her role as Director of Forensic Accounting and Financial Crimes, Christine supports the Securities Litigation practice as a financial, accounting or damages expert.

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Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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The Experts Of Bates Group Are Here To Help

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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