Alan Lash

Alan Lash

Alan Lash is a Certified Public Account and Affiliate Expert with Bates Group in Lake Oswego, Oregon where he utilizes accounting and tax background to provide consulting and expert witness testimony related to financial litigation cases involving futures, hedge funds, trade practices, sales practice audits and compliance. Mr. Lash is based in New York and is a current Member of the CME Group Business Conduct Committee. He is also an Associate Member of the Futures Industry Association("FIA")

For the past 23 years as a CPA and with Lash & Associates, LLC, Mr. Lash has provided accounting services, operational, and regulatory assistance to Futures Commission Merchants ("FCMs"), Forex Dealer Members ("FDMs"), Introducing Brokers ("IBs"), Commodity Trading Advisors ("CTAs"), Commodity Pool Operators ("CPOs"), and Hedge Funds in the United States, Canada, and the UK.

Prior to Lash & Associates LLC, Mr. Lash was the Associate Director for the National Futures Association where he was responsible for the auditing department of the Eastern Region of the NFA. The department was composed of a staff of 28 auditors. The function of the department was to ensure compliance with NFA and Commodity Futures Commission Rules ("CFTC") and Regulations. This entailed financial, operational, trade practices, and sales practice audits of all of its members as well as the preparation and presentation of cases to the NFA Business Conduct Committee.

As Vice President and Financial Controller for Elders Futures Inc., Mr. Lash was responsible for financial reporting, budgets, forecasts, monthly management reports, profit center reporting, and regulatory reporting. He also worked with the compliance officers on regulatory matters involving sales and operations. Prior to this he was a Commodity Floor Trader with the New York Mercantile Exchange where he executed oil contracts, learned various trading strategies, technical analysis, and floor operations and became familiar with trading rules promulgated by NYMEX and the CFTC. He was licensed by the CFTC to execute customer orders on the floor.

While with the Commodity Exchange, Mr. Lash was the Audit Manager where he was directly responsible for the auditing department of the Exchange. The department’s function was to ensure that member firms were in compliance with Exchange and CFTC regulations. He was Advisor to the Committee on Admissions for the Exchange and Vice President of the Joint Audit Committee, which was comprised of individuals from every domestic exchange and served to standardize industry wide auditing practices. He participated in the Macroeconomics Surveillance Committee of the Exchange, which was comprised of individuals from economics, marketing, and research departments, and the Comex Clearing Association. The function was to analyze events in the market and their possible consequences to a stable market. Mr. Lash conducted seminars for other Exchanges, the CFTC, and the NFA on certain trading practices of member firms. He was a liaison for the Exchange between the NYSE, CFTC, and the NFA, and other domestic exchanges on various regulatory matters. He assisted officials of foreign commodity exchanges with information on domestic trading practices and regulation.


Credentials

EXPERIENCE

Bates Group, Affiliate Expert, June 2013 to Present

Lash & Associates, LLC, CPA, December 2008 - Present

Alan Lash, CPA, June 1990 – November 2008

National Futures Association ("NFA"), Associate Director, June 1988 – June 1990

Elders Futures Inc., Vice President, Financial Controller, September 1986 – June 1988

Member – New York Mercantile Exchange ("NYMEX"), Commodity Floor Trader, June 1985 – June 1986

Commodity Exchange, Inc. ("Exchange"), Audit Manager, May 1983 – June 1985

Commodity Exchange, Inc., Audit Supervisor, August 1980 – May 1983

Laventhol & Horwath, Senior Accountant, January 1979 – July 1980

EDUCATION & PROFESSIONAL QUALIFICATIONS

Georgia State UniversityMasters of Professional Accountancy, December 1978

State University of New York (SUNY) at AlbanyBachelor of Arts in Sociology, June 1972

CME Group Business Conduct Committee, Member, September 2009 - Present

Futures Industry Association, Associate Member, June 2013

Automat:ee