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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

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Frank S. Childress

Consulting and Testifying Expert

Jack Bruno, CRCP

Managing Director

Michael Ashton, CFA

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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

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William Jannace

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Practices & Services

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Compliance and AML Support for Banks

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State Licensing Acquisition, Maintenance, and Renewal

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Outsourced and Interim Compliance Officer Support

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Alert Backlog Clearance, Lookbacks, Investigations, and SAR Support

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

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

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Independent BSA/AML Reviews and Compliance Testing

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Policies, Procedures, and Governance Framework Design

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Enterprise and AML Risk Assessments

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BSA/AML/OFAC Compliance Program Development and Enhancement

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Share Class Disputes

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Compliance and AML for Banks

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Property and Casualty Insurance

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

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Retail Securities Litigation Consulting & Testimony

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Advertising and New SEC Marketing Rule Implementation

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Market Manipulation

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As-Needed Compliance and Regulatory Consulting

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Internal Controls Review

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Guidance on Acquiring/Merging of Existing RIAs

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State to SEC Transition Filing

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Business Continuity and Succession Planning

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Compliance Outsourcing Services

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Independent Compliance Consultant Services

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Merge or Acquire an Existing IA Firm

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SEC Regulation Best Interest and Form CRS

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Bates Investor Risk Assessment

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Arbitrator Evaluator™

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Valuation, Fiduciary and Related Services

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Anti-Money Laundering (AML) Program

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FINRA and SEC Expert Witness Testimony

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Big Data

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Asset Tracing

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Economic and Other Damages

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Complex Data Analyses

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US & Global Regulatory Investigations

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News & Webpages

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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

News - August 17 2017

DOL Fiduciary Duty Rule: What Your Firm Should Do Now

The road to implementation of the Department of Labor’s fiduciary duty rule continues to be bumpy. The latest turn may mark yet…

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Fixed Income Part Four - Reaching for Yield

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Fixed Income Part Three - Bond Fund Investment

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Fixed Income Part Two - Understanding Credit Ratings

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Fixed Income Part One - Fee Selection and Reverse Churning

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ERISA Part Four - ERISA - 3(16)

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ERISA Part Three - Due Diligence for Service Providers

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ERISA Part Two - Choosing the Right Type of Investment Advice

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ERISA Part One - 3(21) v 3(38) Investment Assistance

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High Frequency Trading - Intro Guide

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Regulatory Brief - Rules for CPOs and CTAs

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Private Placements

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Regulatory Brief - ERA

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MLP Explained

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REITS Explained