News & Events –

FINRA recently issued a new fraud warning to member firms, highlighted certain changing rules and procedures for arbitrators, reminded arbitrators to stay current on their disclosures and offered up year-to-date statistics on dispute resolution. Bates Research has a summary.

A recent analysis undertaken by the Wall Street Journal found that securities firms selling private placement investments employ an “unusually” high number of high risk brokers. The reporting has raised red flags for regulators who have committed themselves and their agencies to weeding out bad actors and recidivist brokers. Such scrutiny comes at the close of the comment period for FINRA’s “bad actor” rule proposals. Bates has the latest developments.

Just as the SEC was articulating a long-term agenda before Congress and pursuing a first-of-its-kind proactive investor advisory public outreach, the agency was forced to react to a new ruling by the Supreme Court declaring SEC hiring practices for Administrative Law Justices unconstitutional. In this article, we break down these recent developments and highlight a new independent analysis on elder financial exploitation published by the SEC Office of the Investor Advocate.

Connect with Bates group at the 29th Annual ACFE Global Fraud Conference. Bates Director Alex Russell, CFE, CFA, will be presenting the Data Analytics and Anti-Fraud panel “Errors, Biases and Algorithms: How to Interpret Automated Results,” while Financial Crimes Director Geoff WInkler, CFE, will moderate the Emerging Issues Panel "How to Detect and Prevent Fraud in Loyalty Programs." Fraud Expert Jacqueline Bloink, CFE, RHIA, will also be speaking on the Best Practices panel “Forensic Medical Coding and Billing for the CFE.”

June 17-22, 2018 at the Mandalay Bay Resort and Casino in Las Vegas, NV.

We are pleased to introduce Bates Group's newest experts & consultants: Jacqeuline Bloink, Ben Cooper, Craig Hurwitz, Lynn Jones, Jan Kostyun and W. Scott Simon.

Bates Group is proud to welcome Clay Grumke, our newest litigation, regulatory and internal investigations consultant and expert. Look for Clay at SIFMA's Compliance & Legal Society St. Louis Regional Seminar on June 12th, 2018.

Continuing our coverage of FINRA’s 2018 Annual Conference, regulators and firm compliance professionals participated in discussions in a session titled “Common Examination Findings and Effective Compliance Practices.” The regulators offered a look into problem areas firms continue to face and common examination deficiencies.

The discussion offered insight into FINRA’s evolving approach to regulatory and compliance management. Bates Research has the details.

Bates Group Leaders and Experts will be participating in two events coming up Thursday, May 31, 2018. Joseph Thomas, Bates Director and Elder Expert, will be speaking at SIFMA’s Investor Protection Workshop in Minneapolis, MN, while Bates Managing Director Susan Harper will moderate a New York State Bar Association panel discussion on "#MeToo: How to Navigate Sexual Harassment in the Workplace."  Appearing on the panel is Michael Putetti, Bates Group Labor & Employment Consultant and Expert.

Join Bates as we co-sponsor the NYC Bar Association’s White Collar Crime kickoff reception, Tuesday, May 8, 2018 at 6:30 PM. Meet Bates CEO Jennifer Stout and Directors Sejal Patel and Beth Finkle to learn about our Financial Crimes Practice.

Bates Group is pleased to announce that William (Bill) A. Johnstone, the immediate past Chairman of D.A. Davidson Companies, has joined the Bates Group Board of Directors.

“We are very excited that Bill has joined our Board,” said Bates Group Chairman Rob Lee. “His leadership and success at growing and managing world-class financial services companies and law firms makes him an ideal Board member for Bates.”

Join Robert Lavigne, Managing Director, Bates Compliance Solutions as he walks us through a 20-minute webinar focusing on the 2018 SEC-OCIE Exam Priorities and what compliance professionals should be focusing on now.

Bates Group is pleased to introduce our new experts and consultants: Michael Conn, Will Freebing, Mike Putetti and Art Sims.

Bates Group is pleased to introduce our new experts and consultants: David Gibbons, Allen Margolius, Robert Morris, Daniel Perkins, Ricardo Ramos and Lloyd Wennlund.

Ronald H. Filler is a Bates Group affiliate expert witness in the area of financial services law.  He has 35+ years of experience in the futures/derivatives/securities industries and is a frequently requested speaker on trading and market regulation, both nationally and internationally.  We are pleased to share Professor Filler’s upcoming 2018 publication and presentation and recent 2017 published articles and speaking engagements.

Bates Group is proud to introduce our newest experts: Perry Chesney, Tim Durno, Jeff Holik and Kevin Neal.

Why do people commit fraud? This short video explores how pressure, opportunity and rationalization — called the Fraud Triangle — can come together to influence an individual to commit fraud.

Bates Group is a proud supporter of International Fraud Awareness Week, November 12-18, 2017.