News & Events – Bates News

Bates Group today introduced Arbitrator Evaluator™ — an essential information source and analytical tool to streamline and enhance the time-consuming process of identifying, ranking, and selecting arbitrators.

Bates Group is proud to introduce our newest Experts: Bill Jannace, Barry Koch, Bob Kopprasch and Jeff Mazer.

We are pleased to share the conclusion of FP Transition's video roundtable series featuring Bates Managing Director David Birnbaum. 

We are please to share this continuation of FP Transition's video roundtable series featuring Bates Managing Director David Birnbaum. The series will wrap up with Part 3 after Labor Day.

Expert Spotlight on Fraud & Forensics Expert Mary-Jo Kranacher, MBA, CPA/CFF, CFE. 

Bates Group is pleased to announce the release of this first of three special Roundtable Talks featuring FP Transitions’ Marcus Hagood’s one-on-one interview with Bates Managing Director David Birnbaum to discuss the importance of compliance when it comes to acquisitions, as well as recent regulatory changes.

Bates Group is dedicated to giving back to the communities where we work and live by donating our time and talent. Here we highlight some of the contributions made by members of the Bates team.

Bates Fraud & Forensic Investigations Practice now offers Fraud Awareness Training and Workshops

Bates Group is proud to introduce our Advanced Analytics Consultants Matthew Armstrong, Aleksey Cherevatenko, Justin Kerr and Alex Russell.

Bates President & CEO Jennifer Stout and Chief Operating Officer Benjamin Pappas visited the floor of NYSE to watch the opening bell.

Bates Group is pleased to announce the appointment of Michael “’Mike” Bernardo as Managing Director of Bates' Compliance Solutions (BCS) practice. As former Managing Director of a Big Four regulatory consulting practice, Mike brings to Bates Group decades of outstanding Compliance, Regulatory and Surveillance experience within the Securities, Banking and Insurance Industries, including with NYSE Regulation, Morgan Stanley, Smith Barney/Citigroup, and UBS.

Bates Group is proud to announce our Banking Experts and Consultants Jim Embersit, Susan Faulkner, Martin Feuer and Gene Kirby.

Bates Group is pleased to announce that Geoff Winkler, CFE, Bates Group’s Director of Fraud and Forensic Investigations, will be speaking this Tuesday on personal liability for compliance professionals at the Association of Certified Fraud Examiners' (ACFE) 28th Annual Global Fraud Conference in Nashville, TN, June 18th-23rd. ACFE’s annual conference is attended by over 3000 professionals across multiple industries.  Mr. Winkler will be presenting session 10H on Tuesday afternoon, 3:35 - 4:50 p.m. Please also visit Bates Group in the exhibitor hall at booth #202.

Bates Group is proud to announce our new Experts and Consultants Douglas Woodcock, Mark Gaudian, Peter Bale and Timothy Durno.

The Securities and Exchange Commission gave final approval to a FINRA proposal to protect senior investors and shield financial firms from liability when reporting suspected fraud against elderly clients. We have been covering this proposal through its many stages (see Bates Reporting: here; here; here and here.) Effective February 8th 2018, new FINRA Rule 2165 (Financial Exploitation of Specified Adults) and amendments to FINRA Rule 4512 (Customer Account Information) will require full compliance.

Bates Group is pleased to announce that Timothy Durno, a 30-year financial leader veteran based in Martin County, Florida, has joined Bates as a consultant and expert, and will be making opening remarks this Wednesday, April 12th, at the Palm Beach County Bar Association’s CLE program entitled “The Changing Landscape of Securities Regulation, Arbitration and Litigation,” which Bates Group is proud to sponsor.