News - Events

Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum

Events  |  01-10-20

Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum

Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16, 2020 in New York, NY.

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Bates Compliance at the FINRA 2019 Regulation Best Interest Conference

Events  |  12-17-19

Bates Compliance at the FINRA 2019 Regulation Best Interest Conference

Meet Bates Compliance Leaders Bob Lavigne and Jill Ehret at the FINRA 2019 Regulation Best Interest Conference, December 18, 2019 in Washington, D.C.

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This Week at Bates

Bates News, Events  |  11-11-19

This Week at Bates

Bates Group Leaders and Experts will be appearing at several industry events around the country this week.

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Hank Sanchez Speaking at SIFMA C&L New York Regional and 2019 NSCP National Conference

Bates News, Events  |  10-01-19

Hank Sanchez Speaking at SIFMA C&L New York Regional and 2019 NSCP National Conference

Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the SIFMA C&L New York Regional Seminar October 22nd and at the 2019 NSCP National Conference October 23rd.

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Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles

Bates News, Events  |  08-14-19

Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles

Bates Group’s Compliance Director Jill Ehret will be speaking at the 2nd Annual FI Summit on Wednesday, August 14th at the LA Galaxy Stadium. Bates is a proud co-sponsor of this year's event.

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A. Christine Davis to Speak at PLI’s Basics of Accounting for Lawyers 2019

Bates News, Events  |  07-23-19

A. Christine Davis to Speak at PLI’s Basics of Accounting for Lawyers 2019

A. Christine Davis, Bates Group's Director of Forensic Accounting and Financial Crimes, is on the faculty of Practising Law Institute's CLE program "Basics of Accounting for Lawyers 2019," taking place July 23-24, 2019 in San Francisco. The two-day program reviews how some common accounting concepts may emerge in legal work, and what lawyers should consider when encountering them. 

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Join Bates Group at the SIFMA Regulation Best Interest Seminar

Bates News, Events  |  07-09-19

Join Bates Group at the SIFMA Regulation Best Interest Seminar

Bates Group is a proud sponsor of the SIFMA Regulation Best Interest Seminar on Wednesday, July 10 in Washington, D.C. Speakers will address the final Reg BI rule, form CRS, and the broader regulatory landscape. Look for financial services industry leader and Bates Senior Compliance Consultant Jerry Baker at the seminar!

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Bates Director Joe Thomas to Speak at SIFMA’s Senior Investor Protection Regional Workshop

Bates News, Events  |  04-02-19

Bates Director Joe Thomas to Speak at SIFMA’s Senior Investor Protection Regional Workshop

Bates Group Director Joseph “Joe” Thomas, Senior Investor Expert, will be speaking at the SIFMA Senior Investor Protection Workshop, April 3rd at Edward Jones in Tempe, AZ, on the panel “Protecting Your Senior Clients: Prevention, Identification and Action.” Panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline.

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Bates News and Events This Week

Bates News, Events  |  03-12-19

Bates News and Events This Week

This week at Bates Group: CEO Jennifer Stout is recognized by the Florida Securities Dealers Association in their March Member Spotlight, Managing Director Alex Russell is quoted in an Investment News article about 529 plan costs, and Susan Harper will be hosting a chat with the Attorney General of New York, Letitia James, at the NYSBA Women in Law Section's inaugural Trailblazer event on March 13, 2019. Bates Group will also be exhibiting at the 2019 IAA Compliance Conference March 14-15 in Washington, D.C.

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Bates Group at the 2019 NYSBA Annual Meeting

Bates News, Events  |  01-14-19

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 Annual Meeting, Tuesday, January 15 in New York City. Bates Group NY/NJ Managing Director Susan Harper, Esq. will give the welcoming remarks and co-chair a panel. On Wednesday, January 16th, Susan will also participate on the NYSBA Presidential Summit.

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