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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®

Susan R. Faulkner

Steven Valji

Stephen Hoopes

Richard Paley

Ricardo N. Ramos

Raymond Conover, ARe, FLMI, MCM

Miriam Lefkowitz

Michael Putetti

Lloyd Wennlund

Kevin Neal

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

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

Craig S. Hurwitz, CFA

Alfred Rauch, Jr.

Clay Grumke

Bonnie Goldblatt

Diane Rankin

Christina Rea

Patricia Landau

Jacqueline Kuiper

Christopher Brandenburg

Project Manager, BD-RIA Compliance

Daniel A. Roberts

Practices & Services

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Examination Preparation and Support

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Registration, Regulatory Filings, and Ongoing Support

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Quantitative Damage Analysis

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Advisor Transition Dispute Litigation

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Technology and Systems Reviews

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Precious Metal Dealers

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Compliance and AML for Banks

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Exempt Reporting Advisers

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Private Funds

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Independent Reviews

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Outsourced Compliance/CCO Support

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Business Continuity Program

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Compliance Program

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Code of Ethics Program

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Registration & Filings

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Bank Account Facilitation

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Expert Compliance Training

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Advisory Account Reviews

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Share Class Disputes

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Supervision Program Support

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State Licensing Acquisition, Maintenance and Renewal

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BSA/AML Independent Reviews

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BSA/AML/OFAC Compliance

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Money Services Businesses (MSB), Banks, FinTech and Cryptocurrency

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Matrimonial and Divorce Services

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Consumer Compliance Protection

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Virtual Assets & Cryptocurrency

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Property and Casualty Insurance

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Life Insurance Products

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Annuities

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Insurance - Regulatory

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Employment Dispute Litigation

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

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Consulting and Expert Testimony

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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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Business Interruption Litigation Support

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Compliance Manual and Code of Ethics Creation and Maintenance

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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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Registration Lifecycle Service

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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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Cybersecurity

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Registered Investment Adviser Services

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Broker-Dealer Services

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Actuarial Services

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Valuation Services

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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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Litigation Assessment

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Internal Investigations

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US & Global Regulatory Investigations

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Institutional Litigation & Consulting

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Early Case Assessment

News & Webpages

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Data Security

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Our Clients

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Bates Group: Your Industry Solution

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40 Years Of Proven Experience

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Consulting and Expert Testimony Services

White Paper

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

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CDO Explained

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Libor Explained

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CDS Explained

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MBS Explained