With over 30 years of industry experience and advanced quantitative capabilities, Bates Group is well positioned to support all aspects of employment related litigation, due diligence, internal investigations and employment compliance-related support.
Bates’ substantive employment experts are proven industry professionals with experience in sales practice, supervision, employment investigations, regulatory reporting, recruitment, contract negotiation, bonus plans, compensation agreements, and the onboarding and termination processes at both broker dealer firms and RIA firms.
Our experts also provide damages and compensation analyses, including past and future earnings models, what-if scenarios and tax consequences. We have significant experience in assisting counsel with claimants’ damages models, the impact of underlying assumptions, and the application of market/industry considerations, including promissory notes, protocol departures, non-protocol departures, etc.
Our compliance team supports financial institutions with due diligence reviews, gap and risk assessments of personnel, and enhanced supervision.
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