Employment Litigation and Regulatory Services
Who We Help
Bates Group supports RIAs, broker-dealers, banks, and financial services firms involved in employment disputes, investigations, and regulatory matters.
What We Do
Bates Group provides consulting, investigative, and expert witness services in matters involving Form U5 defamation, wrongful termination, discrimination, restrictive covenants, non-competes, and Broker Protocol disputes.
When Do Clients Call Bates Group?
Clients engage Bates Group when employment-related matters involve compliance, supervision, sales practice, reporting, or regulatory issues specific to the financial services industry.
How Clients Use Bates Group?
Clients use Bates Group to evaluate internal processes, analyze conduct, support legal strategy, and provide expert opinions and testimony in employment-related disputes.
Our Approach
Bates Group combines decades of industry leadership, investigative experience, and advanced quantitative capabilities to deliver clear, defensible analysis grounded in real-world financial services operations.
Litigation Support & Expert Testimony
Damages in Employment Litigation
Bates Group provides damages and compensation analyses, including past and future earnings models, and scenario testing, while helping counsel evaluate and challenge the assumptions, calculations, and discount rates underlying opposing damages claims.
Expert Testimony & Hearing Support
Bates Group helps counsel evaluate employment disputes, prepare for mediation, arbitration, and trial, and deliver clear, well-supported expert opinions and reports. Our experts testify virtually and in person in FINRA, AAA, and JAMS arbitrations, as well as in federal and state courts and regulatory proceedings before the SEC, FINRA, and state regulators.