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Stephen Nugent

Testifying Expert

Ronald Quintero

Testifying Expert

Antonio Rega

Managing Director, Tech Forensics, eDiscovery, Data Privacy/Security

Robert L. Staffier, FSA

Testifying Expert

Jennifer Selliers, CAMS, CCEP, CSCP

Managing Director

Kat Miller

Testifying Expert

Jesy LeBlanc

Consulting and Testifying Expert

Jay Rogers

Testifying Expert

Frank S. Childress

Consulting and Testifying Expert

Jack Bruno, CRCP

Managing Director

Michael Ashton, CFA

Consulting and Testifying Expert

Testifying Expert

Testifying Expert

Testifying Expert

Consulting and Testifying

Consultant

Senior Consultant

Testifying Expert

Senior Consultant

Consulting Expert

Consulting Expert

Consultant

Consulting and Testifying Expert

Armin Sarabi

Managing Director

LeeAnna Glessing

Consulting and Testifying Expert

Susan Cannilla, CFA

Testifying Expert

Ashley Drury, CAMS

Senior Consultant

Curtis Christensen, CRCP

Senior Consultant

Michael Greene

Consulting and Testifying Expert

William Freebing

Consulting and Testifying Expert

William Jannace

Consulting and Testifying Expert

Practices & Services

Bates Service

Technology Advisory

Bates Service

Cybersecurity, Data Privacy, and Governance

Bates Service

eDiscovery

Bates Service

Digital Forensics

Bates Service

Technology and Systems Reviews

Bates Service

CMS and Consumer Compliance Support

Bates Service

CMS Independent Reviews

Bates Service

Regulatory Remediation

Bates Service

Team and Management Training

Bates Service

Compliance and AML Support for Banks

Bates Service

Bank Account Facilitation and Partner-Bank Readiness

Bates Service

State Licensing Acquisition, Maintenance, and Renewal

Bates Service

Outsourced and Interim Compliance Officer Support

Bates Service

Regulatory Exam, Inquiry, and Remediation Support

Bates Service

Alert Backlog Clearance, Lookbacks, Investigations, and SAR Support

Bates Service

Transaction Monitoring and Sanctions Screening Optimization

Bates Service

Customer Risk Scoring Model Design, Testing, Tuning, and Implementation

Bates Service

KYC, CIP, CDD, EDD, and Beneficial Ownership Program Support

Bates Service

Independent BSA/AML Reviews and Compliance Testing

Bates Service

Policies, Procedures, and Governance Framework Design

Bates Service

Enterprise and AML Risk Assessments

Bates Service

BSA/AML/OFAC Compliance Program Development and Enhancement

Bates Service

Share Class Disputes

Bates Service

Examination Preparation and Support

Bates Service

Registration, Regulatory Filings, and Ongoing Support

Bates Service

Advisor Transition Dispute Litigation

Bates Service

Technology and Systems Reviews

Bates Service

Compliance and AML for Banks

Bates Service

Exempt Reporting Advisers

Bates Service

Private Funds

Bates Service

Independent Reviews

Bates Service

Outsourced Compliance/CCO Support

Bates Service

Business Continuity Program

Bates Service

Compliance Programs

Bates Service

Code of Ethics Program

Bates Service

Registration & Filings

Bates Service

Bank Account Facilitation

Bates Service

Advisory Account Reviews

Bates Service

Supervision Program Support

Bates Service

State Licensing Acquisition, Maintenance and Renewal

Bates Service

BSA/AML/OFAC Compliance

Bates Service

Consumer Compliance Protection

Bates Service

Property and Casualty Insurance

Bates Service

Life Insurance Products

Bates Service

Annuities

Bates Service

Insurance Litigation and Regulatory Services

Bates Service

Employment Litigation and Regulatory Services

Bates Service

Profit and Loss (P/L) Reports, Damages, and Other Quantitative Analyses

Bates Service

Consulting and Expert Testimony

Bates Service

Retail Securities Litigation Consulting & Testimony

Bates Service

Advertising and New SEC Marketing Rule Implementation

Bates Service

Market Manipulation

Bates Service

Business Interruption Litigation Support

Bates Service

As-Needed Compliance and Regulatory Consulting

Bates Service

Internal Controls Review

Bates Service

Guidance on Acquiring/Merging of Existing RIAs

Bates Service

State to SEC Transition Filing

Bates Service

Business Continuity and Succession Planning

Bates Service

Compliance Outsourcing Services

Bates Service

Independent Compliance Consultant Services

Bates Service

Merge or Acquire an Existing IA Firm

Bates Service

SEC Regulation Best Interest and Form CRS

Bates Service

Bates Investor Risk Assessment

Bates Service

Arbitrator Evaluator™

Bates Service

Valuation, Fiduciary and Related Services

Bates Service

Anti-Money Laundering (AML) Program

Bates Service

FINRA and SEC Expert Witness Testimony

Bates Service

Big Data

Bates Service

Cybersecurity

Bates Service

Registered Investment Adviser Services

Bates Service

Broker-Dealer Services

Bates Service

Actuarial Services

Bates Service

Valuation Services

Bates Service

Asset Tracing

Bates Service

Economic and Other Damages

Bates Service

Complex Data Analyses

Bates Service

Investment Account Analysis

Bates Service

Internal Investigations

Bates Service

US & Global Regulatory Investigations

Bates Service

Institutional Litigation & Consulting

Bates Service

Early Case Assessment

News & Webpages

White Paper

Bankruptcies are Rising - How is That Impacting Equity Holders?

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Working at Bates

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What Makes Bates Different?

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Bates U.S. Chartbook - 2020 Year in Review

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Regulatory Concerns Grow for SPACs

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Booth Raffle - 2021 FINRA Annual Conference

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Bates Webinar Evaluation - April 22, 2021 - Getting Ahead of an SEC Examination

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Reflections on an Unprecedented Year

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Special Purpose Acquisition Companies (SPACs): A Summary

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The Anti-Money Laundering Act of 2020 and the Shifting AML Framework

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Booth Raffle - IAA Compliance Conference 2021

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Find the Right Expert

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Custom Corporate Training

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Booth Raffle - Thank You

White Paper

UPDATE Broker-Dealer Branch Office Compliance: Remote Supervision, Inspections and Operational Considerations

News - December 01 2020

FINRA is Reviewing Firms’ Systems and Procedures for Providing Customer Waivers/Rebates through Rights of Reinstatement (RoR) on Mutual Fund Purchases

FINRA is conducting a targeted review of brokerage firms' systems and procedures for providing customers waivers and rebates available through Rights of…

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Bates Compliance Roundtable: Highlights from Bates’ Zoom Call on Business Continuity Planning

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Bear Markets, Black Swan Events and Volatility

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A Message of Health, Gratitude and Hope

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Bates US Chartbook - 2019 Year in Review

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Webinars and CLE

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Compliance Considerations in an RIA Merger or Acquisition

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SEC’s Regulation Best Interest: Perspectives on Firm Compliance

News - October 03 2019

SEC Turns Up Heat on Share Class Selection Disclosure, Now Focusing on Other Forms of Compensation

The SEC Enforcement Division is continuing to concentrate on firms that did not self-report by the deadline of the SEC’s Share Class…

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Article: With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?

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Forensic Accounting in the Context of Litigation

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Discover the Bates Compliance Difference

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Audits and Reviews

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General Consulting

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Data Challenges in Wage and Hour Damages Analyses

News - May 02 2019

SEC Enforcement Investigating Firms That Did Not Self-Report

The SEC's Enforcement Division has now initiated investigations against firms that did not self-report by the deadline of the SEC’s Share Class…

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