30+ Years Proven Experience

Over the course of 30 years, we’ve seen a lot of ups and downs in the markets firsthand. Along the way, Bates Group has helped our clients sort through the complexities and fallout of each financial upheaval and the inevitable litigation that followed by providing clear and accurate analysis, reporting and expertise.

This was true from the 1987 stock market crash through the limited partnership litigation in the early 1990s, bond market crash in 1994, Asian financial crisis in 1997, Russian default in 1998, bursting of the “technology bubble” at the turn of the century, and the current credit crisis that began in late 2007.

Each of these events caused investors to re-evaluate the way in which they think about the markets and investing. During the turmoil that followed, existing models and paradigms were challenged, and Bates Group helped to provide insight into these challenges by carefully separating fact from fiction and reducing critical issues to their core.


Our History, Our Story

John Bates founded Bates Private Capital as a family business in 1981. As a sole-proprietor, Mr. Bates’ vision was to provide comprehensive analytical and consulting support to litigation attorneys and financial services clients involved in retail securities disputes.

The firm originally consisted of just two employees – John and his son. One would prepare an investment analysis, and the other would review it. In John’s view, two people were the minimum number of employees it took to guarantee accuracy. In the years that followed, the company grew, but analysis was still performed by hand.  Testifying experts often helped assemble exhibit binders alongside staff, reflecting a company-wide dedication to being responsive and showcasing a willingness to do whatever it took to assist our clients. Quality was our signature then, just as it is now, and the marketplace quickly took notice. By 1988, Bates Private Capital had grown substantially, and the company incorporated. Its continued dedication to client service and growing reputation in financial services attracted increased attention. Impressed by the quality of Bates’ work and clients, LECG, a national consulting firm, acquired Bates Private Capital in August of 2005.

Thanks in large part to the efforts of then Managing Director Rob Lee, an early partner at Bates Private Capital and current Chairman of Bates Group’s Board of Directors, the firm continued to expand its horizons. Demand increased not only for the firm’s core retail securities expertise but its growing expertise in forensic accounting, valuation forensic, ERISA matters, economic modeling and e-discovery.

On April 1, 2011, under the leadership of President/CEO Jennifer Stout, the company was repurchased and Bates Group LLC was reborn. As the key driver of growth at the company, she has led Bates Group through one of the greatest periods of innovation and expansion. In addition to our renowned service offerings in retail litigation, the company developed End-to-End client-centered services and solutions to ensure that Bates' clients, both nationally and internationally, are receiving exceptional support in all challenges they face during the lifecycle of their legal matters, whether that begins with an internal or regulatory investigation requiring a response, retail or institutional litigation requiring forensic and damages consulting, or ultimately a compliance review and solutions.

During this period, Bates Group also greatly expanded its areas of expertise, and now boast the nation’s largest roster of nearly 100 financial services industry consultants and expert witnesses with expertise in over 250+ areas, all while continuing to offer unsurpassed financial analysis and reporting services. Our reach has also expanded into thought-leadership offerings, allowing our clients to benefit from our deep and diverse expertise in many areas: through Bates Research we offer weekly blogs, white papers and briefings. We also offer CLE programs featuring our nationwide roster of experts.

“In 2015, Bates Group launched RegTelligence®, the first comprehensive database of all regulatory enforcement actions involving investment advisors and dually-registered firms and affiliates, an invaluable data resource for all professionals regularly engaging with any and all state, federal or SRO regulators. RegTelligence® is the number one source for data on financial industry regulator activity, and is your source for fines, penalties and sanctions, , allowing users to conduct analysis and stay abreast of the of the activity of the regulators they interact with daily.”

At Bates, serving our clients is our number one priority. Whether in our home office in Oregon, or through our regional senior leadership based in New York/New Jersey, St. Louis, Charlotte, and San Francisco, Bates continues to put its client first.

Contact Bates Group

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.

Contact Bates Group

The Experts Of Bates Group Are Here To Help

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.

Expert Search
Automat:ee