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Our Practices at a Glance

Securities and Financial Services Litigation & Consulting

Bates Group’s litigation, arbitration, and consulting experts provide our financial services industry clients and counsel decades of practical securities market experience across a broad range of functions, including but not limited to trading, retail sales practice and supervision, institutional practice, employment, clearing, and quantitative data analysis.

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Practice Leadership

Julie R. Johnstone

Julie R. Johnstone

Managing Director, Practice Leader - Securities and Financial Services Litigation & Consulting

Andrew C. Daniel

Andrew C. Daniel

Director, Securities Litigation Expert and Consultant

Bates Compliance

Bates Compliance's team of experienced compliance professionals provide comprehensive offerings for Registered Investment Adviser, Broker-Dealer, and hybrid firms, as well as Private Fund and Hedge Fund clients, assisting them with compliance, risk mitigation, AML, supervision, and internal control functions.

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Practice Leadership

Rory P. O’Connor

Rory P. O’Connor

Director of Business Development

David Birnbaum

David Birnbaum

Managing Director, Business Development and Strategy

Rhonda Davis, JD, CAMS, CFE

Rhonda Davis, JD, CAMS, CFE

Managing Director, Bates Compliance

Kurt Wachholz, IACCP

Kurt Wachholz, IACCP

Managing Director, Bates Compliance

Money Services Businesses (MSB), FinTech and Cryptocurrency

Bates Group offers AML Compliance consulting and other services to established and start-up companies in the areas of banking, financial technology (FinTech), virtual assets and cryptocurrency, traditional Money Services Businesses (MSBs), and Non-Banking Financial Institutions (NBFIs).

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Regulatory and Internal Investigations

Bates Group’s professionals and experts, with decades of practical senior regulatory, legal, compliance and business experience, are engaged by our U.S. and Non-U.S. clients to conduct or participate in sensitive and complex regulatory and internal investigations.

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Practice Leadership

Alex Russell

Alex Russell

Managing Director, White Collar, Regulatory and Internal Investigations

Data Analyses & Analytics

Whether it is a single transaction or billions of lines of data, using state-of-the-art technology, our industry leading data analytics and big data analyses team will help you make sense of the damages and dollars at stake in arbitration and litigation, internal investigations and enforcement matters.

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Practice Leadership

Julie R. Johnstone

Julie R. Johnstone

Managing Director, Practice Leader - Securities and Financial Services Litigation & Consulting

Andrew C. Daniel

Andrew C. Daniel

Director, Securities Litigation Expert and Consultant

Alex Russell

Alex Russell

Managing Director, White Collar, Regulatory and Internal Investigations

Forensic Accounting, Wage and Hour, and Economic Damages

Analysis and Testimony for Public and Private Wage and Hour Matters, Financial Valuation and Commercial Damages, Forensic Accounting, and Matrimonial & Divorce Services.

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Practice Leadership

Andrew C. Daniel

Andrew C. Daniel

Director, Securities Litigation Expert and Consultant

Annuity and Insurance Product Litigation and Actuarial Services

Annuity and Insurance product support and actuarial services for regulatory response and litigation

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Practice Leadership

Greg Faucher

Greg Faucher

Managing Consultant, Insurance & Actuarial Services