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Jack Bruno

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Senior Consultant

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Kaitlyn Boyajian, CFE

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Don M. Chance, Ph.D., CFA

Ashley Drury, CAMS

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Curtis Christensen, CRCP

Senior Consultant

Michael Greene

William Freebing

William Jannace

W. Scott Simon, J.D., CFP®, AIFA®, BCF®

Steven Valji

Stephen Hoopes

Ricardo N. Ramos

Raymond Conover, ARe, FLMI, MCM

Michael K. Smith

Lloyd Wennlund

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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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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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News - February 27 2019

Four Challenges Facing Firms Ahead of FINRA’s 529 Share Class Initiative April 1st Deadline

Firms participating in FINRA’s 529 Plan Share Class Initiative should act now to meet the regulator’s approaching April 1st deadline to self-report…

News - February 25 2019

Planning Your Response to FINRA’s 529 Initiative — Q&A with Bates Managing Director Alex Russell

Bates Research recently conducted a Q & A session with Alex Russell, Managing Director of Securities Litigation & Regulatory Enforcement at Bates,…

News - February 01 2019

FINRA Rolls Out Its 529 Plan Share Class Initiative - Is Your Firm Ready to Address It?

On the heels of the SEC’s 12b-1 Share Class Initiative, FINRA just announced its own Share Class Initiative. FINRA’s Share Class Initiative…

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AML Enforcement and Compliance: 2018 Year in Review and Observations for 2019

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The Challenge of AML Leadership: A Conversation with Managing Director Edward Longridge

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Navigating A Changing Landscape: Current Considerations When Addressing Senior Financial Fraud

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Bates Group: Your Industry Solution

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Fixed Income Part Four - Reaching for Yield

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Fixed Income Part Three - Bond Fund Investment