News & Events – Bates News

Join Robert Lavigne, Managing Director, Bates Compliance Solutions as he walks us through a 20-minute webinar focusing on the 2018 SEC-OCIE Exam Priorities and what compliance professionals should be focusing on now.

Bates Group is pleased to introduce our new experts and consultants: Michael Conn, Will Freebing, Mike Putetti and Art Sims.

Bates Group is pleased to introduce our new experts and consultants: David Gibbons, Allen Margolius, Robert Morris, Daniel Perkins, Ricardo Ramos and Lloyd Wennlund.

Ronald H. Filler is a Bates Group affiliate expert witness in the area of financial services law.  He has 35+ years of experience in the futures/derivatives/securities industries and is a frequently requested speaker on trading and market regulation, both nationally and internationally.  We are pleased to share Professor Filler’s upcoming 2018 publication and presentation and recent 2017 published articles and speaking engagements.

Bates Group is proud to introduce our newest experts: Perry Chesney, Tim Durno, Jeff Holik and Kevin Neal.

Why do people commit fraud? This short video explores how pressure, opportunity and rationalization — called the Fraud Triangle — can come together to influence an individual to commit fraud.

Bates Group is a proud supporter of International Fraud Awareness Week, November 12-18, 2017.

Bates Consulting and Testifying Expert Dr. Shane Shook will be a featured speaker at an upcoming webinar titled Cybersecurity Threats to Banks and Financial Institutions: What to Know and What to Do, on November 30, 2017 from 12-1 p.m. EST. This complimentary CLE webinar is presented by Cadwalader, Wickersham & Taft LLP.

Bates Group joins hundreds of organizations who have partnered with ACFE, one of the largest anti-fraud organizations, for their yearly Fraud Week campaign. 

According to Geoff Winkler, Bates Group’s Director of Fraud and Forensic Investigations, “No one is immune from fraud, as it affects every industry in both our business and personal lives.”

During Fraud Week, Bates Group will be sharing infographics, articles, videos and other information on batesgroup.com and on social media to promote fraud awareness, education, and prevention. 

Bates Group is pleased to announce that Michael Bernardo, Bates Group Managing Director, Compliance Solutions, will be a featured speaker at the 2017 Securities Symposium, sponsored by Greensfelder, Hemker & Gale, P.C. and The Bar Association of Metropolitan St. Louis, on Wednesday, November 8, 2017.

David Zweighaft (CPA/CFF, CFE) is a New York-based Fraud Subject Matter Expert with over twenty-five years’ experience serving the legal and financial services communities as both a consultant and expert witness. He is the author of the recent article “Business email compromise and executive impersonation: are financial institutions exposed?”, which appears in Volume 18 Issue 1 of the Journal of Investment Compliance (published by Emerald Publishing Limited in the UK).

Bates Group today introduced Arbitrator Evaluator™ — an essential information source and analytical tool to streamline and enhance the time-consuming process of identifying, ranking, and selecting arbitrators.

Bates Group is proud to introduce our newest Experts: Bill Jannace, Barry Koch, Bob Kopprasch and Jeff Mazer.

We are pleased to share the conclusion of FP Transition's video roundtable series featuring Bates Managing Director David Birnbaum. 

We are please to share this continuation of FP Transition's video roundtable series featuring Bates Managing Director David Birnbaum. The series will wrap up with Part 3 after Labor Day.

Expert Spotlight on Fraud & Forensics Expert Mary-Jo Kranacher, MBA, CPA/CFF, CFE. 

Bates Group is pleased to announce the release of this first of three special Roundtable Talks featuring FP Transitions’ Marcus Hagood’s one-on-one interview with Bates Managing Director David Birnbaum to discuss the importance of compliance when it comes to acquisitions, as well as recent regulatory changes.