Employment Dispute Litigation & Compliance Support

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.

Employment Dispute Litigation

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.

Bates Group provides consulting and expert testimony for matters involving:

  • Wrongful and/or Constructive Termination
  • Forms U-4 and U-5 Defamation
  • Promissory Note Disputes
  • Breach of Confidentiality and Non-Solicitation Agreements
  • Supervision
  • Fiduciary Duties
  • Negligent Hiring
  • Trade Secrets Theft
  • Indemnity and Contribution Actions
  • Whistle-Blowing and Retaliation Claims
  • Compensation Packages
  • Internal Investigations (Related to broker conduct) and Regulatory Compliance
  • Sexual Harassment (Including non-securities employment and H.R. issues)
  • Wage and Hour Claims

Compliance Support

Our compliance team supports financial institutions with due diligence reviews, gap and risk assessments of personnel, and enhanced supervision.

We have supported our clients with:

  • Regulatory Reporting (Including Form U-4 and U-5 filing requirements and Form BD and IAR disclosures)
  • Compensation Plans, Conflicts and Incentive Awards
  • New Hire Due Diligence Review
  • Personnel Risk Assessment
  • High-Risk Rep Reviews and Enhanced Supervision
  • High Risk Broker Exam Review