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Experts

Edmund G. Rakowski

Armin Sarabi

Managing Director

LeeAnna Glessing

Susan Cannilla, CFA

Don M. Chance, Ph.D., CFA

Ashley Drury, CAMS

Senior Consultant

Curtis Christensen, CRCP

Senior Consultant

Michael Greene

William Freebing

William Jannace

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

Raymond Conover, ARe, FLMI, MCM

Jacqueline Nash Bloink, MBA, RHIA, CFE, CHC, CPCO, CPC-I/CPC, CMRS

Craig S. Hurwitz, CFA

Christopher Brandenburg

Project Manager, BD-RIA Compliance

Daniel A. Roberts

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News & Webpages

News - January 02 2019

Bates Group Promotes Benjamin Pappas to President

Bates Group Chief Operating Officer Benjamin R. Pappas has been promoted to President of Bates Group LLC, the leading expert witness and…

News - December 21 2018

SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities

SEC Office of Compliance Inspections and Examinations (OCIE) has announced their exam priorities for the upcoming year. You can read the

News - December 13 2018

FINRA Issues 2018 Report on Examination Findings

In its second annual effort to highlight areas of compliance concern, FINRA published a 2018 Report on Examination Findings. The thorough report…

News - December 06 2018

Compliance in the Age of Robo Investment Advice

Investments in robo-offerings have grown, and the application and use of algorithmic programming expanded. A new report cites data that predicts “digital…

News - December 04 2018

New Book On Becoming a Financial Industry Expert From Bates Group’s Michael Weiner Now Available

News - November 30 2018

BCS Alert: FINRA’s Susan Schroeder Previews 2019 Enforcement Priorities

At the November 2018 SIFMA C&L New York Regional Seminar, Susan Schroeder, FINRA’s Executive Vice President and Head of Enforcement, discussed some…

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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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40 Years Of Proven Experience

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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