Securities and Financial Services Litigation & Consulting

Bates Group’s industry experts and professionals provide our broker-dealer and investment adviser clients decades of practical securities market experience across a broad range of functions, including but not limited to trading, retail sales practice and supervision, institutional practice, employment, and clearing. In addition, Bates’ expertise spans the full gamut of investment products and strategies -- from individual securities to structured products, equity hedging strategies to complex derivative positions, selling away to insider trading and more.

Our experts have been engaged to consult and testify for arbitration hearings and for state and federal litigation cases. Our litigation team works closely with regional and multi-national financial services corporations, law firms, and federal and state regulators.  Our role is that of a partner to our clients and their counsel, bringing our technical, industry and project management expertise to address all of their issues and support their work through to a full and final resolution.