Events | 05-16-23
Meet Bates Leaders at the 2023 FINRA Annual Conference
Join Bates Group leaders Jennifer Stout, Ira Hammerman, David Birnbaum, and Hank Sanchez (pictured) at the 2023 FINRA Annual Conference, May 16-18 in Washington, D.C., and get solutions for your ongoing compliance, regulatory and litigation matters.
FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.
CONTACT BATES TODAY to schedule a time to meet with Bates attendees before, during, or after the conference.
Bates supports firms navigating compliance with FINRA and SEC rules and matters. Our compliance and regulatory teams include senior compliance staff and former regulators with expertise in the development of policies, procedures, supervisory and compliance processes, and best practices to enhance compliance and supervisory systems. . Our Securities and Financial Services Litigation practice provides retail and institutional litigation expert witness consultation and data-driven analytic solutions for broker-dealers, RIAs, banks and insurance companies.