Bates News,Events - 03-12-19

Bates News and Events This Week

FSDA Member Spotlight on Jennifer Stout

Bates CEO Jennifer Stout is the subject of the Florida Securities Dealers Association's (FSDA) March Member Spotlight. Jennifer discusses Bates Group's support of FSDA, our clients and community involvement.

Read the full interview at the FSDA website.


InvestmentNews Interviews Alex Russell

Alex Russell, Managing Director, Securities Litigation & Regulatory Enforcement, was interviewed by InvestmentNews in an article titled “529 Plan Costs: Advisers, Broker-Dealers Brace for FINRA Crackdown.” The article was published on March 11, 2019 in both the digital and print editions of InvestmentNews. In it, Alex discusses the challenges companies face if participating in the FINRA’s 529 Initiative. 

Read the full article in InvestmentNews.


Susan Harper to Interview NY Attorney General Letitia James

On March 13th, starting at 5:30 pm, Susan L. Harper, Bates Group’s Managing Director NY/NJ and Chair of the New York State Bar Association's Women in Law Section, will lead a fireside Q&A chat with New York Attorney General Letitia “Tish” James at the Section’s inaugural Trailblazers Series program “Lessons in Leadership.” Attorney General James is the 67th Attorney General for the State of New York. She is an experienced attorney and public servant with a long record of accomplishments, and she is the first woman of color to hold statewide office in New York and the first woman to be elected Attorney General of New York.

Prior to the interview, Attorney General James will be making remarks. An interactive Q&A session with attendees and networking reception will immediately follow.  New York State Bar President Michael Miller, New York Supreme Court Justice Tanya Kennedy, and Sandra Hauser, Partner, Dentons, will be making introductory remarks.

The event is taking place on Wednesday, March 13, 2019, at 5:30 pm at Dentons law firm, located at 1221 Avenue of the Americas (between 46th and 47th Streets) in New York City. 

Click Here for more information or to register.


Bates Group at the 2109 IAA Compliance Conference

Visit Bates Group at the 2019 Investment Advisor Compliance Conference, Booth #13, to discuss your compliance needs and solutions. March 14-15 in Washington, D.C. 

Conference Details


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