Jennifer L. Stout Scott E. Lucas Julie R. Johnstone Andrew C. Daniel

Consultants & Expert Testimony

Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.

Find An Expert

Bruce P. Cramer Joseph J. Thomas Ralph Blascovich
icon-end-to-end

End To End Solution

The Bates team of consulting and testifying experts - and experienced big data and analytical professionals support arbitration, litigation, and enforcement matters, help with the complexities of internal investigations, assist in responding to and resolving regulatory investigations and examinations and prepare and assist in the implementation, review and enhancement of compliance and supervision programs and policies/procedures.

Learn More

RegTelligence™ is a comprehensive database of all regulatory enforcement actions developed by Bates Group LLC, the nation's leading provider of financial services expertise. The RegTelligence™ Snapshot features all regulatory actions in a simple, easy-to-view format and analytics reports provide detailed monthly sanction and regulator distribution.

Learn More

Recent News

Which Regulator Packed the Most Fines in 2015? RegTelligence™ knows. Do you?

Which Regulator Packed the Most Fines in 2015? RegTelligence™ knows. Do you?

The 2015 RegtelligenceTM numbers are in! Our financial regulatory intelligence database, compiled from over 30,000 investment advisors, dually-registered firms and affiliates with over 10 years of data covering 290 financial regulators worldwide, reveals some very interesting insights.

Full Article
SEC Announces 2016 Examination Priorities

SEC Announces 2016 Examination Priorities

New Areas of Focus Include Liquidity Controls, Public Pension Advisers, Product Promotion, Exchange-Traded Funds and Variable Annuities

Full Article
2016 FINRA Regulatory and Examination Priorities Announced

2016 FINRA Regulatory and Examination Priorities Announced

FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts of interest and ethics; supervision, risk management and controls; and liquidity— and then discuss more narrowly focused topics. As always, there is a tension between our desire to be brief with this letter while also addressing the many areas of potential concern that can arise across the breadth of the securities industry.

Full Article

We Help Reduce Risk and Resolve Matter Outcomes.

Subject Matter Experts

Bates Group has approximately 70+ analysts, quantitative and substantive experts nationwide to help you with your securities litigation, regulatory, compliance, forensic and damages consulting needs

Learn More

Corporate Internal Investigations

Bates Group’s regulatory professionals conduct or participate in sensitive and complex regulatory and internal corporate investigations in the U.S. and throughout the world. 

Learn More

Insurance and Actuarial Litigation

Bates Group's Insurance and Actuarial practice is focused on providing cost effective solutions for your expert consulting and insurance and actuarial litigation needs.

Learn More