Dedication to meet our clients’ needs is our greatest priority and pride.
Bates Group is honored to work with leading Fortune 500 companies, law firms, and financial services companies worldwide to help them meet their litigation, regulatory, AML, and compliance needs.
From the beginning, our clients have included the premier banks and broker-dealers in the world, and the international, national, and regional law firms servicing the financial services industry. Over the years, we have added regional brokerage houses, investment advisory firms, insurance companies, regulators, individual investors, money services businesses (MSBs), money transmitters, and non-bank financial institutions (NBFIs) to our roster of clients.
We welcome the opportunity to work with your firm and counsel.
What Our Clients Say About Bates:
"It brings peace of mind to work with a compliance advisor who stays one step ahead of regulatory trends, has or finds the answers to our questions, and keeps our firm on track—year after year."
Joslyn G Ewart, CFP®
Chief Compliance Officer
"I work with the experts at Bates because I trust their analysis. They provide me with accurate answers quickly and jump in on emergency projects without fail."
Sandra D. Grannum
"Bates Group is always my first call for litigation and arbitration support services. I have worked with them for years and have never been dissatisfied with the work performed."
Jack Ballard, Houston
"My experience working with Bates Group has been nothing but exceptional; they have proven to be professional, ethical, and supportive. Their attention to detail is extraordinary, and highly appreciated. We strongly recommend their services."
Laura G. Estrada
Senior Compliance Officer
"We have engaged Bates Group for the most critical tasks on more than one occasion. Brandi and Matt are detail-oriented subject matter experts. The compliance landscape is non-static. We have found it is critical to engage a company that can work with you over time. Bates Group delivers."
"Bates Group is great. Always helpful in providing well researched advice. The consultants are very knowledgeable and a pleasure to work with."
Bruce Bent II
"Bates Group has extensive expertise in the BSA/AML/OFAC and Consumer Compliance for financial institutions including MSBs and other financial institutions."
“I have practiced over 45 years as a lawyer focusing upon securities arbitration, litigation, and regulatory matters, and attorney and accountants malpractice. I have never met or worked with a finer group of people and forensic experts as the people in the Bates Group.”
"Brandi has always been a top notch professional. She is extremely respected and knowledgeable in her field. Highly motivated and ready to tackle any situation. Brandi has always been my go-to person for any AML related questions I may have."
"Professional, courteous, and knowledgeable can't said enough good about this company. Highly recommend."
"Great testifying experts, great forensic/damage analysis, always quick to respond to e-mail/phone communication, always get the job done on time, large network of available experts (willing to find someone for almost any topic)."
"Brandi Reynolds is the consummate professional: her expertise in the compliance world is deep and continues to develop with ever-changing regulations. Also, she has a breadth of experience with different business models, her promptness and accuracy is loved by her clients and her enthusiasm to tackle new challenges is appreciated by all who work with her. She has my utmost respect."
"The Bates team has been incredibly responsive, diligent and professional and excellent and reliable partners, assisting with many high-stakes projects."
"Great staff, work and service - never had a bad experience in 500+ matters."
"Service is A+. Experts are very responsive and very skilled."
"Bates is responsive, cost-effective, flexible, and loyal."
"Overall my experience with Bates has been great--y'all are responsive, easy to work with, and provide a good work product (at a reasonable price)."
"Julie Johnstone and team are very responsive and professional. She has always been available to walk me through questions and go back and forth on revisions."
"My Bates agent pulled me out of a near disastrous situation with FINRA in the last year and half. They are always available, polite, concerned that I understand the situation and exceptionally prompt in correctly diagnosing my problems and solving them."
"The analysis is always accurate and provided promptly."
"I get the answers I am looking for with a quick turn around."
"Julie and her team are very responsive, thorough, personable, and their work product is excellent!"
"The team members which I interact with provide valuable insight, understanding, expertise, and out-of-box solutions necessary for me to ensure that my processes meet industry best practices."
"Leonore Ralston has helped the Department above and beyond all the tasks and requests sent to her. She is quick, smart, and is able to explain the most esoteric and complicated of issues. She is amazing!!! Her reasonable fees are helpful especially given we are a government agency."
"Bates has done a great job on all of my matters and is a top choice for regulatory or data analytic needs."
"I have really valued our engagements with Bates. They have provided valuable insights and industry expertise, quality work product and trusted, practical advice. I look forward to future opportunities to collaborate."
"I have used Bates for years. Their professionals are knowledgeable in their areas of practice and timely deliver excellent work product."
"The individuals at Bates Group are professional, have a great understanding of the challenges faced by AML Officers and provide effective solutions therein."
"I regularly use Bates in a variety of matters and I am always extremely pleased with the service they provide. They go above and beyond in any project in which they are engaged and I recommend them without reservation."
"Bates consistently does a great job. Bates analysts are knowledgeable and experienced. I should know -- I've been using Bates for nearly 30 years."
"I have been impressed with the substantive securities law expertise, forensic accounting and analytical skill, and thoughtfulness of the Bates employees with whom I have worked. In particular, Jen Cunningham is extremely responsive and knowledgeable, and has been helpful when I needed assistance. Alex Russell has also impressed me with his work product and work ethic."
"I have been a client of Bates Group for close to 30 years and have always had great service and accurate and incisive analysis."
"Our Bates consultant is awesome to work with. She understands and anticipates our needs, is highly responsive and easily accessible. (We have worked with other Bates personnel who are also a pleasure to work with.)"
"Our Bates consultant has been a great resource for our RIA Compliance"
"Bates' services and work product are always well done, accurate, and timely. The demonstratives they prepare are easy to digest, even when presenting complex information. Bates employees are very responsive and accommodating of last-minute requests."
“I just wanted to let you know that Dennis Dumas testified last Friday and did an excellent job. His subject matter knowledge and resume are top-notch and, perhaps more importantly, he presented beautifully…I’d be happy to highly recommend him to others. Thanks for your help on this on short notice.”
“It’s been a true pleasure working with each of you over the past decade-plus. You always make me seem like a genius to my clients for recommending you once they see your experts perform, whether it’s on the witness stand or creating reports. You’re the best!”
“We won! Read the opinion and Judge's view of your fine work! Let all who work at Bates on this know what a fine job they did.”
“I just wanted to reach out and say what an awesome job I think Julie is doing. She is super responsive and great at what she does. When I am under the gun getting figures and damages analyses together for my client or for the brief, she is right there with me handling all of my incessant requests for data and calculations. “
“Dennis proved to be an expert at being an expert witness. He helped us understand the issues related to supervision, helped us debunk their claims, and provided valuable testimony on the issue of supervision and our compliance with our duty of supervision.”
“We won. As always thanks for your awesome help – your schedules are mentioned in the award!”
“Despite Claimant's use of three different experts on suitability, regulatory issues and damages, our one expert, Bruce Cramer, from Bates, was able to take apart their arguments piece by piece. The Panel noted that our expert demonstrated that the investments that were recommended were suitable and profitable.”
“I want my company to understand why you specifically (and Bates overall) is such a valuable partner. Bruce, you were indispensable to this outcome. I cannot tell you how much I value your wisdom and insight.“
“Thank you for your support in this matter, and Joe Thomas successfully brought the P&Ls in and was in essence our record custodian as to online hits, which was extremely helpful to avoid having someone else having to authenticate the documents. It was a pleasure as always to have Joe on a case.“
“I very much appreciate your willingness to help on this matter, and I look forward to working with you on another matter in the future. Your quick response and approach won you a spot at the top of my list for future experts.”
“I am pleased to inform you that it was a complete win, with the Panel dismissing Claimant's claims with prejudice and recommending expungement of this matter from the U4. I want to thank you again for your invaluable assistance, it was very much appreciated.”
“The jury just came back and found him guilty of all 21 counts of the Indictment. Thank you so much for your help and cooperation. I will definitely use you [Bates] again the next time I need an expert in this area. Even defense counsel said he was impressed with you.”
“We settled this case today on terms favorable to our client. Thanks for your work in support of our defense. It was a pleasure meeting and working with you, and we are appreciative for your very assistance that helped put us in position to do what was needed here. I hope to work with you in the future."
“Unreal!!!! Massacre!!!!!” (on the $0 award our client received in a case that Bates Group’s expert testified, consulted and we performed all of the analysis work.)
“We greatly appreciate your hard work and diligence on this [insurance] case. I’m sure it wasn’t easy having to crank out those exhibits on such a short deadline, and you managed to do it with flying colors.”
“Thank you so very much for ALL of your help with this one. We can always count on you!”