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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.
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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Samuel “Sam” Turvey is a Bates Consulting and Testifying Expert who has more than 30 years of experience as an attorney and senior compliance officer in the Securities Industry. Since 2000, he has served in Chief Compliance Officer (COO) roles at some of the industry’s premier firms—Merrill Lynch, Morgan Stanley, Bear Stearns and, more recently, a 12-year stint at TIAA. In those roles, he has assisted firms in all aspects of compliance programs including strategic planning, rule implementations and execution of responses to compliance exams, enforcement matters, and regulatory inquiries. Sam has also served as CCO of Broker-Dealers, RIA's, Hedge Funds, and Private Equity efforts.
Sam is a licensed attorney who has defended firms and individuals—as outside and internal counsel in securities arbitrations, regulatory inquiries and hearings as well as large compliance projects. He has a proven track record highlighted by the following qualities:
Sam lives in Northern New Jersey and is a graduate of Fordham College and Law School in New York. He has served on numerous industry and regulatory committees, including the SIFMA Compliance and Legal Executive Committee and FINRA’s District 10 Members Committee.
Bates Group LLC, Consulting and Testifying Expert, 2020 - Present
TIAA, TIAA-CREF Individual & Institutional Services, LLC, Chief Compliance Officer, New York, NY, 2008 – 2020
Bears Stearns Companies, Inc., Senior Managing Director, New York, NY, 2006 – 2008
Bingham McCutchen LLP, Partner, New York, NY, 2005 – 2006
St. Consulting, Principal, New Jersey, 2004 – 2005
Morgan Stanley, Managing Director, New York, NY, 2002 – 2004
Merrill Lynch, First Vice President, Chief Compliance Officer Advisory Division, 2000 – 2002; Director and Compliance Manager, 1996 – 2000; Vice President, Senior Arbitration Counsel, New York, NY, 1993 – 1996
Shearson Lehman Brothers Inc., Vice President, Securities Arbitration, New York, NY
Lord Day & Lord, Barrett Smith, Litigation Associate, General Corporate Litigation, New York, NY
Bessemer Trust Company, N.A., Trust Officer, Investment Management & Administration, New York, NY
Juris Doctor (JD), Fordham University School of Law, New York, NY
Bachelor of Arts (BA), Fordham College, New York, NY
FINRA, 2010 – 2017; Member, District 10 Members Committee, 2013 – 2017; Member, Complaints Initiatives Committee, 2010 – 2017
Securities Industry and Financial Markets Association (SIFMA), 2002 – 2018; Executive Committee, Compliance and Legal Division, 2002 – 2004; Chairperson, Compliance Subcommittee of Compliance and Legal Division, 2004; Lecturer, Annual Spring SIFMA Compliance and Legal Division Seminar, 2014, 2013, 2012, 2011, 2008, 2004, 2003, 1997
University of North Carolina Law School Bootcamp, 2020, 2018, 2016
ACA Compliance CCO Roundtable, 2018, 2012
