03-10-25
In a recent article from InvestorCOM, Armin Sarabi shares key insights on the evolving fiduciary rule, compliance best practices, and technology’s role in staying ahead.
02-24-25
We’re excited to share that Brandi Reynolds will be speaking at Mastercard’s Global Fintech Week Event February 24, 2025
02-04-25
Bates Group sponsors "One Great Night," February 4, 2025, hosted by SWIFS and FSDA. Join us for industry insights, networking, and a wine auction supporting Pace Center for Girls.
02-03-25
Brandi Reynolds has been named Co-Chair of the Blockchain Association’s Compliance Working Group, leading efforts to shape crypto compliance standards and regulatory best practices.
04-04-24
Bates Group practice leaders Alex Russell and Rhonda Davis are featured as speakers at the SIFMA 2024 Chief Risk Officers' Roundtable, April 4-5 in Chicago. Bates is a proud sponsor.
02-29-24
As a leading provider of financial consulting services, Bates Group has extensive experience defending allegations of transaction fraud on brokerage or bank accounts through expert analysis and testimony, as well as assisting financial institutions in preventing and deterring transaction fraud.
02-23-24
Attending ETH in Denver? Bates Managing Consultant John Ashley is available meet with you to discuss the top issues and concerns for the blockchain community.
10-06-23
Bates is pleased to announce the return of Chris Riper as Managing Director for complex litigation and regulatory matters.
09-14-23
The summer has flown by, and now back-to-school (and back-to-office) is here again. We’ve compiled some items you might have missed and some upcoming events to look forward to this fall
09-01-23
Bates consulting and testifying expert Clay Grumke was recently interviewed by CNBC for a short video documentary on Insider Trading. Watch now!
08-14-23
Patrick Cox, Bates Consulting and Testifying Expert, was recently interviewed by Financial Advisor IQ reporter Brianna Monsanto concerning the Securities and Exchange Commission’s recent July 26, 2023 proposal around mitigating conflicts of interest relating to predictive data analytics and the implications, including with Reg BI.
05-10-23
Bates Regulatory and Internal Investigations Managing Consultant Lindsey Dean, CPA, CFE to speak at the California Department of Financial Protection and Innovation’s Enforcement Division Staff Conference, Wednesday, May 10, 2023 in San Diego, CA.
04-26-23
Bates is proud to announce the appointment of Benjamin R. Pappas as Chief Executive Officer, effective immediately. Previously, Pappas was Bates Group’s President, where he was responsible for driving the firm’s overall growth strategy. Pappas succeeds former CEO Jennifer Stout, who will be taking up new roles as Vice-Chair of the Board of Directors and Senior Executive Advisor to the firm.
04-11-23
Bates Group welcomes our newest consulting and testifying experts:
Nicholas Bowman, CFP®, CEP®, MSPFP
James A. Kamradt
Bridget McNamara-Fenesy, JD
David M. Minnick
04-05-23
The Consumer Financial Protection Bureau (CFPB) engages in rigorous examinations of financial institutions to ensure that they follow all applicable laws and regulations, have effective compliance management systems in place, and provide meaningful consumer protections. Bates Group offers independent consumer compliance reviews to help protect your business and customers.
03-09-23
Publications including ThinkAdvisor, Law360, SIFMA SmartBrief, and Politico have all recently mentioned Ira D. Hammerman's new role as Bates Group Managing Director.