Bates News | 09-24-20
Announcing Our Newest Experts
Bates Group is proud to welcome our newest experts and consultants:
AML, Financial Crimes, Global Compliance Risk Management
Gary Ferrari is a compliance risk management leader in global financial institutions and consulting firms. He has served in senior-level leadership positions and governance roles integral for building, executing, and remediating regulatory and financial crime/AML compliance programs throughout the U.S. and the world. Mr. Ferrari’s focus has been on the Pillars of Compliance, designing the framework, standards, and methodology for building and resourcing compliance programs, and overseeing core compliance functionality.
Barbara A. Halper, JD, MBA
BD-IA Compliance, Seniors and Vulnerable Investors, Compliance Testimony
Barbara Halper, Esq. is a Bates consultant and expert specializing in proactive risk assessment, training, testing, and management services that support businesses in meeting compliance-related needs with a focus on proactive services in meeting Best Interests regulatory requirements. She also provides strategic litigation and arbitration support from the sale of alternative investments. Ms. Halper’s consultation and services are designed to provide Bates’ clients with proactive measures for supervising the sale of securitized products by employees (or contractors and their employees) who may be subject to issues related to their advancing age or infirmity.
Timothy McClendon, CIC, CWCA
Insurance, Workers’ Compensation, Risk Management
Tim McClendon serves as an expert witness in insurance-related litigation and has over 40 years’ experience as a Certified insurance Counselor (CIC). Mr. McClendon also holds a Certified Workers Compensation Advisor (CWCA) designation and is a licensed risk manager. As a member of the Society of Certified Insurance Counselors national faculty, Tim teaches insurance courses throughout Texas and around the country including Certified Insurance Service Representatives, Certified Insurance Counselors and Ruble Seminars. He is a former “Teacher of the Year” for Professional Insurance Agents of Texas and has been a member of the adjunct faculty teaching insurance and risk management courses for the M. J. Neeley School of Business at Texas Christian University.
Insurance and Annuities, 401K/Pension/Retirement, Elder Issues
Ed Truax is a Bates affiliate with more than 30 years of experience as a financial advisor and consultant. His focus was, and remains, the intergenerational transfer of family-owned and closely held business interests. Mr. Truax brings a wealth of experience with the suitability and sales practices of life insurance, annuity products, qualified and non-qualified retirement plans, in both individual and corporate settings. He has offered expert testimony in life insurance-related civil litigation and served as Chairman of an arbitration panel deciding matters related to insurance agency dissolution. He is experienced as a keynote speaker, sales concept trainer, and provider of continuing education.