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Bates Expert Joe Thomas Quoted by Ignites, a Financial Times Service

Bates News  |  10-31-16

Bates Expert Joe Thomas Quoted by Ignites, a Financial Times Service

Joseph “Joe” Thomas, Principal and Expert with Bates Group, is quoted in an Ignites (FT's Mutual Funds industry publication) article on the new proposed FINRA rule concerning vulnerable and elderly clients.  Click to read the full story.

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Meet Our New Experts

Bates News  |  10-26-16

Meet Our New Experts

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

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FINRA Issues Proposed Rule To Protect Senior Investors

Bates Research  |  10-26-16

FINRA Issues Proposed Rule To Protect Senior Investors

Last week we focused on the important topic of elder and diminished capacity investors through a Q&A with elder investor expert Joe Thomas. Our timing couldn’t have been better, because FINRA announced (on the same morning our post went live) that it has sent a proposed new rule and rule amendments to the SEC that would allow for better protection of senior investors.   

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Spotlight on Elder and Diminished Capacity Investors

Bates Research  |  10-19-16

Spotlight on Elder and Diminished Capacity Investors

A Q&A Interview with Bates Elder Investor Expert Joseph J. Thomas

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Bates Compliance Solutions at the 2106 NSCP Compliance Conference

Bates News  |  10-18-16

Bates Compliance Solutions at the 2106 NSCP Compliance Conference

Visit Bates Compliance Solutions leaders at the 2016 NSCP Compliance Conference - Booth 24!

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Quantifying a “Culture Of Compliance”

Bates Research  |  10-13-16

Quantifying a “Culture Of Compliance”

We’ve often been asked the question, “Which securities product causes the most enforcement actions?” To formulate our answer, we undertook a deep analysis of the data available to us in our RegTelligence® database.

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Key Takeaways from the 2016 Anti-Money Laundering and Financial Crimes Conference

Bates Research  |  10-07-16

Key Takeaways from the 2016 Anti-Money Laundering and Financial Crimes Conference

Bates Group Consulting Expert Susan Berger and Consultant Geoff Winkler had the pleasure of representing Bates at the 2016 Anti-Money Laundering (“AML”) and Financial Crimes Conference presented by the Association of Certified Anti-Money Laundering Specialists (ACAMS) last week in Las Vegas, Nevada. There were dozens of speakers representing regulatory agencies, financial institutions and consulting firms, and below are some of the key AML and financial crimes issues they identified facing the financial industry today: 

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5 Tips to Help Get the Most From Your Expert Witness

Bates Research  |  09-30-16

5 Tips to Help Get the Most From Your Expert Witness

This week’s post builds upon a recent presentation given by Jennifer Stout, President/Chief Executive Officer of Bates Group, and David Birnbaum, Managing Director of Business Development and Strategy, at the annual Independent Broker Dealer Consortium conference, where they discussed winning strategies to maximize your impact from expert witnesses.

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Jennifer Stout and David Birnbaum to Speak at the 2016 IBDC Conference

Bates News  |  09-27-16

Jennifer Stout and David Birnbaum to Speak at the 2016 IBDC Conference

Bates Group is proud to announce that Jennifer Stout, President/CEO, and David Birnbaum, Managing Director of Business Development & Strategy, will be speaking on Wednesday, September 28 at the 2016 Independent Broker Dealer Consortium (IBDC) Conference taking place in Phoenix, Arizona.

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Bates Wins Again in the 2016 NYLJ Reader Rankings Survey

Bates News  |  09-23-16

Bates Wins Again in the 2016 NYLJ Reader Rankings Survey

Bates Group has been selected as a top Secuities Litigation Consulting Firm by the readers of the ​New York Law Journal​ for the second year in a row.

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Page 30 of 45 pages.

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