Webinars and CLE

Bates Group webinars keep you up-to-date on the issues that affect your business. See upcoming programs below.


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, Beverly Jo Slaughter of Wells Fargo, and our co-hosts from Bressler, Amery & Ross for this complimentary CLE Webinar.

This program has ended.


Regulatory Exams and Investigations in the Age of COVID-19

Upcoming: July 9, 2020  at 2:00 p.m. Eastern (1 hr.)
Presented by: Bates Group and Eversheds Sutherland

Please join Eversheds Sutherland attorneys Brian Rubin and Sarah Sallis and Alex Russell, Bates Group Managing Director, White Collar, Regulatory and Internal Investigations, for a webcast to discuss FINRA’s process of exams and investigations and enforcement topics in the age of COVID-19. Specifically, speakers will cover:

  • Process of exams and investigations
  • Overview of the Eversheds Sutherland study on FINRA sanctions
  • Private placements including fraud regarding COVID-19 scams
  • Insider trading, including trading on information related to the pandemic
  • Leveraged and volatility-linked products including misrepresentations, omissions and suitability related to the economic impact of the pandemic
  • Variable annuities supervision and exchanges
Click here to register for this program.



Upcoming: July 15, 2020 (1 hr.)
Presented by: Bates Compliance

In this roundtable discussion, Bates Managing Director Linda Shirkey and Hank Sanchez, along with compliance professionals will be addressing business continuity plan implementation amid the COVID-19 pandemic, unanticipated issues, gaps, and shortcomings companies faced. Speakers will address changes companies can make to improve their BCP; migrating back to the office; and, what to do in the event they must pivot back to a remote workforce, among other pressing issues. 

Registration opening soon.












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