07-24-17
Meet Our Advanced Analytics Consultants
Bates Group is proud to introduce our Advanced Analytics Consultants Matthew Armstrong, Aleksey Cherevatenko, Justin Kerr and Alex Russell.
Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
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07-24-17
Bates Group is proud to introduce our Advanced Analytics Consultants Matthew Armstrong, Aleksey Cherevatenko, Justin Kerr and Alex Russell.
07-07-17
Bates President & CEO Jennifer Stout and Chief Operating Officer Benjamin Pappas visited the floor of NYSE to watch the opening bell.
06-27-17
Bates Group is pleased to announce the appointment of Michael “’Mike” Bernardo as Managing Director of Bates' Compliance Solutions (BCS) practice. As former Managing Director of a Big Four regulatory consulting practice, Mike brings to Bates Group decades of outstanding Compliance, Regulatory and Surveillance experience within the Securities, Banking and Insurance Industries, including with NYSE Regulation, Morgan Stanley, Smith Barney/Citigroup, and UBS.
06-21-17
Bates Group is proud to announce our Banking Experts and Consultants Jim Embersit, Susan Faulkner, Martin Feuer and Gene Kirby.
06-16-17
Bates Group is pleased to announce that Geoff Winkler, CFE, Bates Group’s Director of Fraud and Forensic Investigations, will be speaking this Tuesday on personal liability for compliance professionals at the Association of Certified Fraud Examiners' (ACFE) 28th Annual Global Fraud Conference in Nashville, TN, June 18th-23rd. ACFE’s annual conference is attended by over 3000 professionals across multiple industries. Mr. Winkler will be presenting session 10H on Tuesday afternoon, 3:35 - 4:50 p.m. Please also visit Bates Group in the exhibitor hall at booth #202.
04-19-17
Bates Group is proud to announce our new Experts and Consultants Douglas Woodcock, Mark Gaudian, Peter Bale and Timothy Durno.
04-11-17
The Securities and Exchange Commission gave final approval to a FINRA proposal to protect senior investors and shield financial firms from liability when reporting suspected fraud against elderly clients. We have been covering this proposal through its many stages (see Bates Reporting: here; here; here and here.) Effective February 8th 2018, new FINRA Rule 2165 (Financial Exploitation of Specified Adults) and amendments to FINRA Rule 4512 (Customer Account Information) will require full compliance.
04-10-17
Bates Group is pleased to announce that Timothy Durno, a 30-year financial leader veteran based in Martin County, Florida, has joined Bates as a consultant and expert, and will be making opening remarks this Wednesday, April 12th, at the Palm Beach County Bar Association’s CLE program entitled “The Changing Landscape of Securities Regulation, Arbitration and Litigation,” which Bates Group is proud to sponsor.
04-05-17
We are pleased to announce that Bates affiliate expert Paul Carroll will be a featured speaker at the New York State Bar Association’s 2017 Securities Arbitration and Mediation Conference on Thursday, April 6 in New York City.
03-30-17
We are pleased to announce that Bates Group affiliate expert Alison Jimenez will be a panelist on the ACAMS International AML & Financial Crimes Conference panel, “The Algorithm is Your Friend: Creating and Using Them to Strengthen AML” in Hollywood, FL., April 3-5, 2017. Ms. Jimenez will be joined at the conference by Geoff Winkler, Bates Group's Director of Fraud & Forensic Investigations.
03-19-17
Douglas Woodcock is Bates Group's newest Affiliate Expert and Consultant, who brings 36 years of experience in asset management, capital markets, investment banking and broker-dealer senior management to provide expert consulting and testimony on complex securities litigation and arbitration issues.
02-21-17
We are pleased to announce that Bates Group Expert Professor Ronald Filler will be the Moderator of the ABA Section on International Law's Spring 2017 Program, “Financial Crisis Reform or a Financial Crisis Missed Opportunity?” in Washington, D.C., April 25-28, 2017.
02-14-17
Bates Expert Miriam Lefkowitz will be a featured speaker at the New York Country Lawyers’ Association’s CLE on “Ethical, Legal and Regulatory Considerations When Practicing Before the SEC and CFTC" on February 15, 2017, 9am to noon. Sponsored by NYCLA’s Securities and Exchange Committee and Futures and Derivatives Committee
02-13-17
Photos from the SIFMA/Bates Group Leaders and Experts Forum in New York City : “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.”
01-30-17
Over 100 people attended our SIFMA/Bates Group Leaders and Experts Forum in New York City last Thursday: “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.” InvestmentNews caught up with Bates Director of Institutional & Complex Litigation Alex Russell concerning the growing use of big data and data analytics to drive regulatory enforcement, a topic of great interest at the Forum.
01-19-17
Join leading in-house and outside counsel, regulators and experts on Thursday, January 26th in NYC for the 2017 SIFMA/Bates Group Leaders & Experts CLE Forum: "Successfully Managing Regulatory Investigations and Enforcement Matters in the Big Data Age." Registration is now open.