Recorded Programs

For questions regarding CLE accreditation or to request an attorney affirmation form, please contact John Rice, CLE Coordinator at jrice@batesgroup.com.
 
 

BEST PRACTICES IN DEFENDING MARGIN-RELATED CASES

Upcoming: June 25, 2020 (1 hr.)
Presented by: Bates Group and Bressler, Amery & Ross, P.C.

CLE Credits approved in NY, and giving reciprocity credit to NJ, CA and FL.

With the volatility in the market during the recent months, and the significant growth of securities backed lending by brokerage firms, this presentation addresses best practices in investigating and defending margin cases. Join Bates Group margin expert Glen Garofalo along with Director Andrew Daniel and our co-hosts from Bressler, Amery & Ross for this complimentary CLE Webinar.

Click Here to watch the on-demand playback of "Best Practices in Defending Margin-Related Cases."

 

BULL OR BEAR: FINANCIAL MARKETS & COVID-19

Recorded: June 17, 2020 (1 hr.)
Presented by: Bressler, Amery & Ross, P.C.

CLE credits approved in NY, and giving reciprocity credit to NJ, CA, and FL. CLE credits pending in AL.

This webinar, featuring Bates Group Director and expert Greg Kyle, will discuss the coronavirus pandemic and its impact on the financial markets. We will compare COVID-19’s effect on the market through a historical analysis of prior market disruptions, review the current fundamentals of the market and the economy as a whole, and debate which industries have been most heavily impacted and those poised to rebound.

Click Here to watch the on-demand playback of "Bull or Bear: Financial Markets & COVID-19."

 

EMPLOYMENT CLAIMS AND COMMERCIAL DAMAGES – WHAT TO EXPECT IN THE “NEW NORMAL”

Recorded: June 4, 2020 (1 hr.)
Presented by: Bates Group

CLE Credits approved in MO and CA, and giving reciprocity credit to NJ, NY and FL.

Join moderators Sheila Murphy (Consultant, Bates Group) and A. Christine Davis (Managing Director of Forensic Accounting and damages expert, Bates Group) along with three accomplished employment lawyers, Maureen Bogue (Founder, Pacific Employment Law), Jeanine Conley Daves (Shareholder, Littler Mendelson P.C.), and Elizabeth Thompson (Counsel, Kilpatrick Townsend & Stockton LLP), as they explore and address current and potential future wrongful termination and other employment claims, including wage & hour claims and damage assessments arising from the pandemic. 1-hour CLE webinar.

Click Here to watch the on-demand playback of "Employment Claims and Potential Economic Damages – What to Expect in the 'New Normal.'”

 

REGULATORY AND LITIGATION ISSUES IN A POST COVID-19 WORLD: A LOOK INTO THE CRYSTAL BALL

Recorded: May 28, 2020 (1 hr.)
Presented by: Bates Group

CLE Credits approved in MO and CA, and giving reciprocity credit to NJ, NY and FL.

In this one-hour CLE program, Jeff Kalinowski, partner at Bryan Cave, joins Bates experts Joe Thomas and Clay Grumke in a discussion of potential regulatory investigations and litigation on the horizon, including what firms should expect during this COVID-19 period and beyond.

Click Here to watch the on-demand playback of "Regulatory and Litigation Issues in a Post-COVID-19 World: A Look Into the Crystal Ball."

 

ADDRESSING SENIOR AND VULNERABLE INVESTOR PROTECTION AND POTENTIAL LITIGATION CLAIMS IN THE COVID-19 WORLD

Recorded: May 14, 2020 (1 hr.)
Presented by: Bates Group

CLE Credits approved in MO and CA, and giving reciprocity credit to NJ, NY and FL.

Join nationally recognized senior issues expert witness and Bates Group director Joseph “Joe” Thomas, Ron Long (Head of Aging Client Services, Wells Fargo), along with senior issues expert Amy Bard (Bates), Marin Gibson (SIFMA), and Melissa Acayan (Raymond James) for a conversation about what vulnerable and senior financial investor issues and claims may look like going forward, the effectiveness of current protections, the best practices to recognize and address senior financial exploitation in the current environment, cases and regulatory updates, and resources to assist firms in preventing exploitation. 

Click here to watch the on-demand playback of "Addressing Senior and Vulnerable Investor Protection and Potential Litigation Claims in the COVID-19 World."

 

PRESERVING AND GROWING YOUR IBD/RIA BUSINESS IN THE TIME OF COVID-19

Recorded: May 12, 2020 (1 hr.)
Presented by: Bates Group and IBDC

Join moderator Lilian Morvay, Principal and Founder of Independent Broker Dealer Consortium, LLC (“IBDC”) and Bates Group Consultant, along with panelists David Baugh, Partner - Kaufman Dolowich & Voluck; Brian Nally, Partner - Reminger; Brian Cavanaugh, Director Corporate Risk & Brokering Financial Institutions - Willis, Towers Watson, Robert “Bob” Reidy, Alternative Products Consulting and Testifying Expert - Bates Group; and Judith Knudsen, VP and Deputy General Counsel - Avantax Wealth Management; as they discuss the effects that Covid-19 may have on claims against BDs/RIAs, insurance concerns and considerations and opportunities to expand your businesses.

Click here to watch the on-demand playback of "Preserving and Growing your IBD/RIA Business in the Time of COVID-19."

 

COUNTDOWN TO FORM CRS FOR INVESTMENT ADVISERS

Recorded: April 30, 2020 (1 hr.)
Presented by: Bates Compliance

The countdown is on! Linda Shirkey, Rory O’Connor and Jennifer Sullivan of Bates Compliance provide guidance for IAs on how to tackle Form CRS in this 1-hour webinar.

Click here to watch the on-demand playback of "Countdown to Form CRS for IAs."

 

UNDERSTANDING REGULATION BEST INTEREST

Recorded: March 12, 2020 (1 hr.)
Presented by: Global Relay

Bates Compliance Practice Leader Robert “Bob” Lavigne joins Donald McElligott of Global Relay in this virtual forum discussing the history and impact of the Reg BI rule package, new obligations, regulator expectations, Reg BI resources and more.

Click here to watch the on-demand playback of "Understanding Reg BI."

 

COUNTDOWN TO REG BI: STRATEGIES TO ENSURE COMPLIANCE

Recorded: March 4, 2020 (1 hr.)
Presented by: Bates Compliance and NICE Actimize

Bates Compliance Practice Leader Robert “Bob” Lavigne and Dave Ackerman of NICE Actimize discusses your Reg BI obligations, new tools, technology, and process changes to help your firm comply with Regulation Best Interest.

Click here to watch the on-demand playback of "Countdown to Reg BI: Strategies to Ensure Compliance."

 

UNDERSTANDING REG BI

Recorded: February 27, 2020 (1 hr.)
Presented by: Bates Compliance and AI Insights

In this one-hour webinar, Bates Compliance Managing Directors David Birnbaum and Linda Shirkey join AI Insights to help you gain an understanding of the SEC’s Regulation Best Interest rule, regulator expectations, product rationalization, and Form CRS. Learn how you can prepare for the June 30 compliance date.

Click here to watch the on-demand playback of "Understanding Reg BI."

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