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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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Are Your Firm’s Policies and Procedures Working as Intended for Rights of Reinstatement?

11-16-22

Are Your Firm’s Policies and Procedures Working as Intended for Rights of Reinstatement?

FINRA has remained focused on ensuring that eligible customers received Rights of Reinstatement (“ROR”) benefits where appropriate. Just recently, we were retained by another large firm looking to leverage the depth of our experience gained through many engagements assisting our clients with Rights of Reinstatement issues since the targeted examination announcement in 2020. Contact Bates today if you are facing a FINRA inquiry or other action or need to update your policies and procedures.

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Bates Welcomes New Experts and Consultants

09-07-22

Bates Welcomes New Experts and Consultants

Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):

Erin Baskett, CPA, CGMA - Brokerage, Investment Advisory, Cryptocurrency Consulting

Patrick Cox - Fintech and Cybersecurity, Employment Matters, Broker-Dealer Sales Practice

Frederick Egler - Operational Risk Management, Insurance/Reinsurance, Banking

Brian Warshaw - Broker-Dealer Operations, Introducing Firm Operations, Transaction Processing

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2022 Summer Roundup – What You Missed, What Is Happening This Fall

09-02-22

2022 Summer Roundup – What You Missed, What Is Happening This Fall

Summer is coming to a quick close, and we hope you had a chance to get moving and enjoy some fun in the sun!

While you are celebrating the final days of summer, we’ve compiled our annual summer roundup of news that you may have missed, as well as a sneak peek of live and virtual events happening this fall. We’ve even included a bonus track at the end of our list to cap off your summer.

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Bates Welcomes Paul Lambert, Former Bank of America Chicago Market President and Merrill Lynch Midwest Division Executive, as a Strategic Advisor and Consulting Expert

08-31-22

Bates Welcomes Paul Lambert, Former Bank of America Chicago Market President and Merrill Lynch Midwest Division Executive, as a Strategic Advisor and Consulting Expert

Continuing to grow and expand its national reach, Bates Group welcomes Paul Lambert as a Strategic Advisor and Consulting Expert. A 30-year financial services veteran at Bank of America Merrill Lynch, Paul will be working with senior leadership to expand our client engagement across the business. Read the full announcement to learn more about Paul and the experience he brings to the Bates team.

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Bates Welcomes New Consulting and Testifying Experts – June 2022

06-07-22

Bates Welcomes New Consulting and Testifying Experts – June 2022

Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):

Joan Marie Asher, CIFD, IACCP - Hedge Funds, Private Equity, Alternative Investments

Jeffrey L. Baliban, MA Econ, CPA/ABV/CFF, CDBV - Business and Economic Damages, Business Valuation, Accounting

Jeff Jamieson - Litigation, Regulatory, Internal Investigations

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Celebrating Black History Month 2022

02-02-22

Celebrating Black History Month 2022

Bates proudly celebrates Black History Month this February. Connect with us on social media as we examine the rich legacy of Black Americans in the fields of Finance, Banking, and Investing.

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Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.