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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.

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End-To-End Solutions

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.

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The smart way to identify and select the best arbitrators for your case

Arbitrator Evaluator streamlines the arbitrator ranking and selection process, summarizing disclosure reports into one easy-to-read document.

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Recent News

How to Prepare for a Regulatory Examination: Bates’ Guide to Getting Ahead of Regulatory Exams

How to Prepare for a Regulatory Examination: Bates’ Guide to Getting Ahead of Regulatory Exams

Each year, the SEC and FINRA release Exam and Risk Monitoring Reports highlighting continuing and emerging concerns for the year. These agency communications serve as a potential notice of subjects scrutinized for future examinations. In this guide, Bates walks you through the exam process and break down what you need to know, including: anticipation and preparation, first contact, document production, interviews, and findings.

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With Nov. 4 Deadline Approaching, SEC Announces New Marketing Rule Exam Initiatives and Areas of Review

With Nov. 4 Deadline Approaching, SEC Announces New Marketing Rule Exam Initiatives and Areas of Review

In a new Risk Alert issued by the Division of Examinations, the SEC reminded investment advisers to review their written policies and procedures on the new marketing rule before the November 4, 2022 compliance deadline. 

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Seeking to Integrate Reg BI Standards, NASAA Proposes Revisions to REITs and Other Guidelines

Seeking to Integrate Reg BI Standards, NASAA Proposes Revisions to REITs and Other Guidelines

NASAA is reminding financial professionals that state regulators remain a force to be reckoned with in an increasingly complex financial marketplace. Describing a need to protect elderly investors from unsuitable products, a need to protect average investors from the risks of confusing contract terms and misleading marketing communications, and to address ongoing and persistent complaints of fraud, NASAA proposed revisions to its Guidelines on REITs. Bates looks at the four proposed revisions and what they could mean for your firm and clients.

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We Help Reduce Risk and Resolve Matter Outcomes.

Subject Matter Experts

Bates Group has over 175 analysts, quantitative and substantive experts nationwide to help you with your securities litigation, regulatory, compliance, forensic and damages consulting needs

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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. 

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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.

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