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Experts

James McCarthy

Consultant

Managing Director

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®

Steven Valji

Stephen Hoopes

Ricardo N. Ramos

Raymond Conover, ARe, FLMI, MCM

Lloyd Wennlund

Kevin Neal

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

David Newman

Daniel Mee

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Bates Service

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Bates Service

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Bates Service

Precious Metal Dealers

Bates Service

Compliance and AML for Banks

Bates Service

Exempt Reporting Advisers

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Private Funds

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Share Class Disputes

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State Licensing Acquisition, Maintenance and Renewal

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BSA/AML Independent Reviews

Bates Service

BSA/AML/OFAC Compliance

Bates Practice

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

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Consumer Compliance Protection

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Virtual Assets & Cryptocurrency

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Annuities

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Insurance - Regulatory

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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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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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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

Bates Service

Anti-Money Laundering (AML) Program

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FINRA and SEC Expert Witness Testimony

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Big Data

Bates Service

Cybersecurity

Bates Service

Registered Investment Adviser Services

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Broker-Dealer Services

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Actuarial Services

Bates Service

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

News - January 22 2019

FINRA Announces 2019 Regulatory and Examination Priorities

FINRA has announced their regulatory and examination priorities letter for 2019.

News - January 18 2019

Bates Group Welcomes New Expert and Consultant Sheila Murphy

Bates is proud to welcome Sheila Murphy as a new Expert and Consultant. Ms. Murphy brings over 30 years of legal, insurance,…

News - January 17 2019

New FINRA Report Details Effective Practices for Broker-Dealer Cybersecurity Compliance

Right before the new year, FINRA published a report on specific cybersecurity compliance concerns raised in recent broker-dealer examinations. The report provides…

News - January 14 2019

Bates Group at the 2019 NYSBA Annual Meeting

Bates is proud to be a Bronze Sponsor of the NY State Bar Association’s Women In Leadership Section Symposium at the 2019…

White Paper

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

News - January 03 2019

OCIE to Prioritize Protection of Retail Investors in 2019 Examinations

The SEC Office of Compliance Inspections and Examinations ("OCIE") will prioritize risks to retail investors in this year’s examinations. That concern is…

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…

White Paper

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

White Paper

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

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