News & Events – Bates News

We are pleased to announce that Bates affiliate expert Paul Carroll will be a featured speaker at the New York State Bar Association’s 2017 Securities Arbitration and Mediation Conference on Thursday, April 6 in New York City.

We are pleased to announce that Bates Group affiliate expert Alison Jimenez will be a panelist on the ACAMS International AML & Financial Crimes Conference panel, “The Algorithm is Your Friend: Creating and Using Them to Strengthen AML” in Hollywood, FL., April 3-5, 2017. Ms. Jimenez will be joined at the conference by Geoff Winkler, Bates Group's Director of Fraud & Forensic Investigations.

Douglas Woodcock is Bates Group's newest Affiliate Expert and Consultant, who brings 36 years of experience in asset management, capital markets, investment banking and broker-dealer senior management to provide expert consulting and testimony on complex securities litigation and arbitration issues.

We are pleased to announce that Bates Group Expert Professor Ronald Filler will be the Moderator of the ABA Section on International Law's Spring 2017 Program, “Financial Crisis Reform or a Financial Crisis Missed Opportunity?” in Washington, D.C., April 25-28, 2017.

Bates Expert Miriam Lefkowitz will be a featured speaker at the New York Country Lawyers’ Association’s CLE on “Ethical, Legal and Regulatory Considerations When Practicing Before the SEC and CFTC" on February 15, 2017, 9am to noon. Sponsored by NYCLA’s Securities and Exchange Committee and Futures and Derivatives Committee

Photos from the SIFMA/Bates Group Leaders and Experts Forum in New York City : “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.” 

Over 100 people attended our SIFMA/Bates Group Leaders and Experts Forum in New York City last Thursday: “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.” InvestmentNews caught up with Bates Director of Institutional & Complex Litigation Alex Russell concerning the growing use of big data and data analytics to drive regulatory enforcement, a topic of great interest at the Forum.

Join leading in-house and outside counsel, regulators and experts on Thursday, January 26th in NYC for the 2017 SIFMA/Bates Group Leaders & Experts CLE Forum: "Successfully Managing Regulatory Investigations and Enforcement Matters in the Big Data Age." Registration is now open.

Join leading in-house and outside counsel, regulators and experts on Thursday, January 26th in NYC for the 2017 SIFMA/Bates Group Leaders & Experts CLE Forum: "Successfully Managing Regulatory Investigations and Enforcement Matters in the Big Data Age." Early Bird Registration is now open.

Bates Group Managing Director David Birnbaum is quoted in an Ignites (FT's Mutual Funds industry publication) article on the compliance concerns companies need to consider during and after a merger or acquisition.  Click to read the full story.

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

Bates Group is pleased to announce that Andrew Daniel, Bates Group Director, Securities Litigation Expert and Consultant, will be a featured speaker at the 2016 Securities Symposium, sponsored by the Greensfelder law firm and The Bar Association of Metropolitan St. Louis, on Wednesday, November 16, 2016.

Joseph “Joe” Thomas, Principal and Expert with Bates Group, is quoted in an Ignites (FT's Mutual Funds industry publication) article on the new proposed FINRA rule concerning vulnerable and elderly clients.  Click to read the full story.

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

Visit Bates Compliance Solutions leaders at the 2016 NSCP Compliance Conference - Booth 24!

Bates Group is proud to announce that Jennifer Stout, President/CEO, and David Birnbaum, Managing Director of Business Development & Strategy, will be speaking on Wednesday, September 28 at the 2016 Independent Broker Dealer Consortium (IBDC) Conference taking place in Phoenix, Arizona.