Search Results:

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

Bates Service

Examination Preparation and Support

Bates Service

Registration, Regulatory Filings, and Ongoing Support

Bates Service

Quantitative Damage Analysis

Bates Service

Advisor Transition Dispute Litigation

Bates Service

Technology and Systems Reviews

Bates Service

Precious Metal Dealers

Bates Service

Compliance and AML for Banks

Bates Service

Exempt Reporting Advisers

Bates Service

Private Funds

Bates Service

Independent Reviews

Bates Service

Outsourced Compliance/CCO Support

Bates Service

Business Continuity Program

Bates Service

Compliance Program

Bates Service

Code of Ethics Program

Bates Service

Registration & Filings

Bates Service

Bank Account Facilitation

Bates Service

Expert Compliance Training

Bates Service

Advisory Account Reviews

Bates Service

Share Class Disputes

Bates Service

Supervision Program Support

Bates Service

State Licensing Acquisition, Maintenance and Renewal

Bates Service

BSA/AML Independent Reviews

Bates Service

BSA/AML/OFAC Compliance

Bates Practice

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

Bates Service

Matrimonial and Divorce Services

Bates Service

Consumer Compliance Protection

Bates Service

Virtual Assets & Cryptocurrency

Bates Service

Property and Casualty Insurance

Bates Service

Life Insurance Products

Bates Service

Annuities

Bates Service

Insurance - Regulatory

Bates Service

Employment Dispute Litigation

Bates Service

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

Bates Service

Consulting and Expert Testimony

Bates Service

Retail Securities Litigation Consulting & Testimony

Bates Service

Advertising and New SEC Marketing Rule Implementation

Bates Service

Market Manipulation

Bates Service

Business Interruption Litigation Support

Bates Service

Compliance Manual and Code of Ethics Creation and Maintenance

Bates Service

As-Needed Compliance and Regulatory Consulting

Bates Service

Internal Controls Review

Bates Service

Guidance on Acquiring/Merging of Existing RIAs

Bates Service

State to SEC Transition Filing

Bates Service

Business Continuity and Succession Planning

Bates Service

Compliance Outsourcing Services

Bates Service

Independent Compliance Consultant Services

Bates Service

Merge or Acquire an Existing IA Firm

Bates Service

Registration Lifecycle Service

Bates Service

SEC Regulation Best Interest and Form CRS

Bates Service

Bates Investor Risk Assessment

Bates Service

Arbitrator Evaluator™

Bates Service

Valuation, Fiduciary and Related Services

Bates Service

Anti-Money Laundering (AML) Program

Bates Service

FINRA and SEC Expert Witness Testimony

Bates Service

Big Data

Bates Service

Cybersecurity

Bates Service

Registered Investment Adviser Services

Bates Service

Broker-Dealer Services

Bates Service

Actuarial Services

Bates Service

Valuation Services

Bates Service

Asset Tracing

Bates Service

Economic and Other Damages

Bates Service

Complex Data Analyses

Bates Service

Litigation Assessment

Bates Service

Internal Investigations

Bates Service

US & Global Regulatory Investigations

Bates Service

Institutional Litigation & Consulting

Bates Service

Early Case Assessment

News & Webpages

White Paper

CDS Explained

White Paper

MBS Explained