Leadership

Jennifer L. Stout

Jennifer L. Stout

President, Chief Executive Officer

Jennifer began her career as a CPA at a Big Five accounting firm before being recruited to Bates, where she grew from her first position 20 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

Chief Operating Officer

Benjamin Pappas is the Chief Operating Officer of Bates Group in Lake Oswego, Oregon, where he 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. Prior to joining Bates Group, Mr. Pappas 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. Mr. Pappas 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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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

Director, Institutional and Complex Litigation

Alex Russell is the Director of Institutional and Complex Litigation for Bates Group LLC, where he is 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. He is an adjunct professor of finance at both Linfield College and in the Graduate School of Management at Willamette University.

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Margaret Terry

Margaret Terry

Chief Human Resources Officer

Margaret brings over 20 years experience to Bates in both Human Resources and business operations. In 2006, Margaret joined Bates as the Manager of Human Resources and quickly became involved in developing best practices that helped enhance the company’s performance. In 2008, Margaret assumed responsibility for the administration and management of our Lake Oswego headquarters which lead to her current role as Chief Human Resources and Administrative Officer.

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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 L. Harper, Esq. 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 Birnbaum is a Managing Director focusing 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 Solutions

Robert (“Bob”) Lavigne is Managing Director of Bates Compliance Solutions, 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 Advisors 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 a senior examiner at the Boston district office of FINRA. 

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Rodney Turner

Rodney Turner

Director, Compliance Solutions

Rodney Turner is Director of Bates Compliance Solutions, with over 20 years’ work experience in the financial services compliance and legal field. For the bulk of that time, he worked as an investigator and attorney with NASD/FINRA and served on the staffs of the Market Regulation and Enforcement Departments. Most recently, Rodney served as a Compliance Counsel with Certified Financial Planner Board of Standards, Inc., investigating and prosecuting CFP® professionals for violations of the Board of Standards rules, which often involved violations of federal securities laws and/or FINRA rules.

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Geoff Winkler

Geoff Winkler

Director, Financial Crimes

Geoff Winkler is Director of Bates Group's Financial Crimes practice, leading a team of legal and financial industry professionals who specialize in managing complex investigations, forensic accounting, fiduciary and insolvency services, and securities litigation support. Geoff has lectured extensively on the topics of fraud, anti-money laundering, business law, and business ethics and has published dozens of articles on topics ranging from elder care abuse to SEC reforms, and managing expert witnesses to analyzing new DOL rules. Before coming to Bates, Geoff was a business consultant and turnaround professional. He has extensive experience working with businesses suffering financial, organizational or management issues, and he often functioned as interim CFO, COO or general manager. Geoff is recognized as a Certified Fraud Examiner by ACFE and a Certified Insolvency and Restructuring Advisor by AIRA. He earned his BA (Politics), MBA and JD from Willamette University in Oregon, and is an Adjunct Professor of business law, business ethics, and American government for Chemeketa College.

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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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Sejal Patel

Sejal Patel

Director

Sejal Patel is a Director who brings to Bates Group over twenty years of experience developing and strengthening strategic relationships with top US and global law firms as well as Fortune 500 general counsel.

Sejal has a significant track record of success assisting attorneys and businesses when responding to matters of regulatory scrutiny or litigation.  She will be working to support Bates Group’s expansion into the areas of financial crimes, institutional & complex litigation and compliance solutions.

Prior to joining Bates, she held positions in the forensic accounting and compliance consulting space, including at Deloitte and Navigant Consulting. Sejal earned her JD from Syracuse University and her Bachler’s in Economics from University of Nebraska.

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Beth Finkle

Beth Finkle

Director

Beth Finkle is a New York-based Director at Bates who uses her nearly 20 years of expertise in sales, business development and marketing to support Bates Group’s continued expansion into the areas of compliance, financial crimes, and institutional & complex litigation. Ms. Finkle earned her Bachelor of Arts in Political Science from Queens College CUNY, and gained experience driving revenue and profitability for business services and software companies including Thomson Reuters, CT Summation (Wolters Kluwer) and, most recently, for eDiscovery and Litigation Support companies. She has a proven track record of strategic revenue growth, team leadership, business development, and client retention/expansion. Beth is strategically aligned with a Customer Success approach and has supported clients on matters from complex litigation, IP defense, anti-trust, financial services/banking regulatory compliance, data privacy, AI, technology and healthcare.  Beth is active in several legal and non-profit New York-based associations, including Women in eDiscovery, where she serves as Executive Director.

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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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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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