James Hartmann

James Hartmann

Mr. Hartmann is a Bates Group expert who has over 25 years of experience supporting insurance and investment products and began his career with the U.S. Securities & Exchange Commission. The insurance products include life and annuities while investment products include both traditional and alternative strategies covering fundamental long-short equity, merger arb, convert arb, public fixed income, private credit, private equity and venture capital.

James has registered new advisers, completed mock regulatory exams, conducted due diligence on acquisitions, built out of compliance infrastructure, and interfaced with regulators such as the SEC, Federal Reserve Banks of Boston and New York, FINRA, the FCA, Department of Labor, among others. At least twice per year you can find Mr. Hartmann chairing industry panels with senior attorneys and other compliance professionals and regulators on provocative topics.

Mr. Hartmann was recently hired as an adjunct professor teaching a Corporate Compliance course at Fordham Law School starting in 2021.


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James Hartmann

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Asset Backed Securities (ABS)
      • CDOs
      • Closed End Funds
      • Corporate Finance
      • Corporate Governance
      • Commodities
      • Complex Products
      • Distressed Securities
      • DOL Fiduciary Duty Rule
      • E-Discovery
      • Exception Reporting Software & Systems
      • Fixed Income
      • Fraud
      • Investment Advisory
      • Limited Partnerships
      • Market Manipulation
      • Money Laundering
      • Municipal Securities
      • Mutual Fund Operations
      • Mutual Funds
      • Outside Business Activity
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Preferred Securities
      • Real Estate Investment Trusts - REITs
      • Retirement Plans and IRAs
      • RIA Sales & Distribution
      • Risk Management
      • Structured Products/Structured Notes
      • Supervision
      • Alternative Investments
      • Asset Backed Securities (ABS)
      • Banking
      • CDOs
      • CLOs
      • CMBs
      • Corporate Bonds
      • Corporate Finance
      • Commodities
      • Complex Products
      • Corporate Debt
      • Distressed Securities
      • E-Discovery
      • Equities
      • Equity Financing
      • Fixed Income
      • Former Regulators
      • Hedge Funds
      • Insider Trading
      • Investment Advisory
      • Investment Management
      • Market Manipulation
      • Money Laundering
      • Mortgages
      • Mortgage Backed Securities (MBS)
      • Mortgage Origination
      • Municipal Securities
      • Mutual Fund
      • Mutual Fund Operations
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Portfolio Management
      • Preferred Securities
      • REITS
      • RIA Sales & Distribution
      • Risk Management
      • Sales Practice
      • Sales Supervision
      • Structured Products
      • Supervision
      • Trading
      • Regulatory & Internal Investigations
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Asset Backed Securities (ABS)
      • CDOs
      • Closed End Funds
      • Corporate Finance
      • Corporate Governance
      • Commodities
      • Complex Products
      • Distressed Securities
      • DOL Fiduciary Duty Rule
      • E-Discovery
      • Exception Reporting Software & Systems
      • Fixed Income
      • Fraud
      • Investment Advisory
      • Limited Partnerships
      • Market Manipulation
      • Money Laundering
      • Municipal Securities
      • Mutual Fund Operations
      • Mutual Funds
      • Outside Business Activity
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Preferred Securities
      • Real Estate Investment Trusts - REITs
      • Retirement Plans and IRAs
      • RIA Sales & Distribution
      • Risk Management
      • Structured Products/Structured Notes
      • Supervision
      • Alternative Investments
      • Asset Backed Securities (ABS)
      • Banking
      • CDOs
      • CLOs
      • CMBs
      • Corporate Bonds
      • Corporate Finance
      • Commodities
      • Complex Products
      • Corporate Debt
      • Distressed Securities
      • E-Discovery
      • Equities
      • Equity Financing
      • Fixed Income
      • Former Regulators
      • Hedge Funds
      • Insider Trading
      • Investment Advisory
      • Investment Management
      • Market Manipulation
      • Money Laundering
      • Mortgages
      • Mortgage Backed Securities (MBS)
      • Mortgage Origination
      • Municipal Securities
      • Mutual Fund
      • Mutual Fund Operations
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Portfolio Management
      • Preferred Securities
      • REITS
      • RIA Sales & Distribution
      • Risk Management
      • Sales Practice
      • Sales Supervision
      • Structured Products
      • Supervision
      • Trading
      • Regulatory & Internal Investigations
  • Regulatory & Internal Investigations
    • U.S. & Global Regulatory Investigations
    • Internal Investigations

Credentials

EXPERIENCE

Independent Regulatory Consultant, Feb 2020-Present


Arena Financial Services, LLC, Managing Director and Chief Compliance Officer, Oct 2016-Feb 2020


Arena Investors, LP, Managing Director and Chief Compliance Officer, Sept 2015-Sept 2019


Prudential Fixed Income, 2nd Vice President and Chief Compliance Officer, Nov 2010-Sept 2015


Wolters Kluwer Financial Services, Independent Regulatory Consultant, Oct 2009-Nov 2010


UBS Global Asset Management, Global Head of Compliance Risk Assessment, June 08-Aug 09


UBS Global Asset Management, Executive Director and Chief Compliance Officer (US), June 05-June 08


Ernst & Young LLP, Director, Risk Management and Regulatory Compliance, Dec 03-May 05


PricewaterhouseCoopers LLP, Director, Regulatory Compliance Consulting Group, Feb 02- Nov 03


Zero Gravity Venture Partners, COO and CCO, Aug 99-Jun 01


Capstone Investments, Director, Institutional Brokerage Services, May 98 - Jun 99


Summit Capital Partners, VP, Operations and Compliance, Jun 97 – Apr 98


Prudential Insurance Company, CCO, May 94 - June 97


U.S. Securities & Exchange Commission, Senior Compliance Examiner, Investment Companies Branch, Jan 90 - May 94

EDUCATION

Indiana University School of Business, B.S. Corporate Finance

PROFECSSIONAL QUALIFICATIONS/LICENSING

FINRA series 63, 65, 7 and 24 (Series 3 and 27 pending)