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.

Joe will be joined by Moderator, Kyle R. Innes, Assistant Vice President, State Government Relations and Assistant General Counsel, SIFMA and Panelists, Marcus N. Allen, AAMS, Regional Branch Supervisor, Vice President, Wealth Brokerage Services, Wells Fargo Advisors; Russell Bloemker, Associate General Counsel, Edward Jones; and  Brad Keely, Sr., Sr. Compliance Manager, Retail Investor Group, Vanguard.

About Joe Thomas: Mr. Thomas is a Bates Group Director based in St. Louis, and an expert on preventing, spotting and addressing situations of financial exploitation and cognitive decline. He has over thirty years of securities industry compliance, supervision, operations and administration experience, and he has provided quantitative and substantive witness testimony and opinions in over 90 retail securities litigation, arbitration, and court matters, many involving claims of elder abuse and fraud. Mr. Thomas also serves on the Public Policy Committee of the National Adult Protective Services Association (NAPSA). FULL BIO


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