Aaron Case

Aaron Case is a Sr. Consultant at Bates Group, bringing extensive experience in regulatory compliance, enforcement defense, risk management, and business strategy within the financial services industry backed by more than 20 years of deep institutional expertise across a large broker-dealer and a private bank registered investment advisor (RIA).

Aaron’s services center on building robust compliance structures and risk management systems that promote a strong organizational culture ensuring that wealth management platforms, advisory operations, and brokerage systems maintain absolute alignment with evolving federal and state oversight standards, while concurrently deploying strategic enforcement defense mechanisms designed to insulate firms from legal liabilities, mitigate audit deficiencies, and navigate regulatory investigations.

Before joining Bates, Aaron spent 15 years at LPL Financial leading the compliance teams in charge of complex product oversight, followed by 4 years at TD Private Client Wealth leading public communications compliance group, giving him nearly two decades of practical, hands-on experience running compliance programs, interfacing with regulatory bodies like FINRA and the SEC, and handling real-world regulatory issues inside major financial institutions.