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Bates Group’s litigation, arbitration, and consulting experts provide our financial services industry clients and counsel 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, clearing, and quantitative data analysis.
With over 175 financial industry experts and consultants, Bates Group is one of the nation's leading financial services litigation consulting and expert witness firms. Applying our extensive industry experience, we are uniquely positioned to assist broker-dealers and investment advisers, State and Federal Regulators, and retail and institutional investors, providing effective solutions in pre-litigation, litigation, and arbitration settings for our clients and counsel. Our quantitative analysis and qualitative case strategy, advice, and expert testimony cover the full spectrum of the financial services industry. We work closely with our clients to examine the issues, markets, industry, regulatory context, historical analogy, and other experts’ work product to develop thoughtful, precise, and dispassionate analysis and testimony based on experience and judgment.
Managing Director, Practice Leader - Securities and Financial Services Litigation & Consulting
Director, Securities Litigation Expert and Consultant
Bates staff and experts have provided both consulting and testimony services in matters involving options trading within a client account.
Bates Group has been retained to analyze thousands of Annuity/Life Insurance contracts to determine gains or losses associated with Fixed/Variable/Indexed Annuities as well as Term/Whole Life/Universal Life/Variable Life Insurance products.
Bates has assisted in matters arising from the sale of private placement securities, providing economic analysis of the market for private placements, the reasonableness of fees incurred on such investments, as well as performance comparison hypotheticals against other publicly traded comparable assets.
Bruce Cramer is a Director with The Bates Group, where he uses his extensive background in the retail brokerage securities industry to consult and provide expert witness testimony…
Our securities and financial services industry experts consult and testify in 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 work product has been tested and accepted in countless forums and is based on decades of industry experience.
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.