Bates News | 09-07-22
Bates Welcomes New Experts and Consultants
Erin Baskett, CPA, CGMA
Brokerage, Investment Advisory, Cryptocurrency Consulting
Erin Baskett is a Bates Consulting and Testifying Expert and the founder and CEO of Sine Qua Non Global (SQN-Global.com). She is a financial, compliance, and operational executive with significant experience in accounting, auditing, business consulting, capital markets, and financial services, with a solid knowledge of U.S. GAAP, tax, IFRS, FINRA and SEC rules in companies with both domestic and international presence. Erin holds multiple certifications, including Certified Public Accountant (CPA), Chartered Global Management Accountant (CGMA), and Certified Human Resources Specialist (CHRS), and regulatory licenses.
Fintech and Cybersecurity, Employment Matters, Broker-Dealer Sales Practice
Patrick Cox is a Bates Testifying and Consulting Expert based in San Diego, California, with extensive experience in Retail Securities, Investigations, Cybersecurity, Privacy, and Compliance. Prior to joining Bates, Patrick was Executive Vice President and General Counsel for Advice, Litigation and Regulatory Strategy with LPL Financial, where he was responsible for all litigation, regulatory, and legal advice matters for the firm’s business units. He and his team also conducted internal investigations for the firm’s integrity hotline and other matters. Patrick was an ex-officio member of the firm’s Risk Oversight Committee for many years and provided ongoing advice to members of the Management Committee with reports to the Board of Directors on special issues.
Patrick spent 20 years representing Morgan Stanley, Ameriprise Financial, and LPL Financial and their employees, and he handled hundreds of matters ranging from wrongful termination, raiding and recruiting, retail arbitrations, class actions, shareholder actions and internal investigations. He also worked on many due diligence and acquisition issues, both at LPL and Ameriprise. Prior to working in-house at Morgan Stanley, Patrick served as a civil litigator, an Adjunct Associate Professor at Fordham University School of Law, a law clerk at the U.S. Court of International Trade, and an Assistant District Attorney in Manhattan. An experienced executive and advocate, he received his Juris Doctor from Fordham and his Bachelor of Arts in English from Loyola Marymount University.
Operational Risk Management, Insurance/Reinsurance, Banking
Frederick Egler is a Bates Testifying Expert specializing in risk, compliance, and litigation management responsibility for all divisions of diversified financial services organizations. He has been responsible for claim and contingency resolution as well as risk mitigation measures, including development, implementation, and evaluation of risk identification and assessment programs, policies and procedures, internal controls, and appropriate financial disclosure and accounting treatment for a wide variety of risk events and contingencies. Frederick is is also available for consultation on insurance and reinsurance underwriting and claims management, including structure and management of captive insurers, creation and maintenance of enterprise insurance programs as part of overall risk mitigation strategy, and issues relating to coverage and claims management.
Broker-Dealer Operations, Introducing Firm Operations, Transaction Processing
Brian Warshaw is a Bates Testifying Expert who started his career over 41 years ago as a Branch Operations Manager with Merrill Lynch. Brian’s career allowed him extensive experience in branch and core home office service and operations throughout the US and overseas markets. His in-depth knowledge of the rules, regulations and the practical application of them created a career growing executive responsibilities culminating in his last position in Rockefeller Capital Management (RCM) as head of Wealth Management Operations. Under Brian’s direction, Rockefeller (an UHNW-focused company that clears through National Financial Services) went from $15 billion AUM to $100 billion over 3 years.
At Merrill Lynch, Brian created a Branch Operations Manager training program (used worldwide), managed the sale of Merrill Lynch International Wealth Business to Bank Julius Baer (migrating $300 billion in assets), and managed all financial transaction processing through the Merrill Lynch core books and record systems. He was directly responsible for the margin department, tax reporting, cash management processing, trading, securities pricing, and fraud control, among other oversight. In his last full year at Merrill Lynch, Brian’s areas were audited 147 times with no violations found.
Brian is a Past President of the SIFMA Credit and Margin Section, a former member of the FINRA Margin Committee, acted as an Arbitration and Legal Matter Subject Matter Expert on behalf of Merrill Lynch and FINRA and held FINRA Series 99, 7, 24 and 28 licenses.