Securities and Financial Services Litigation & Consulting

Retail Litigation & Consulting

Bates Group is uniquely positioned to assist broker-dealer and investment adviser clients, as well as State and Federal Regulators, with matters throughout the life cycle of their litigation matter from early case assessments, damage analyses, and “what if” scenarios to expert consultation and testimony at hearing, and mediation and settlement support. Our dedicated team of former SEC and industry regulators, former senior in‐house legal and compliance officers, former brokers, advisors and managers, Chartered Finance Analysts (CFAs), Certified Fraud Examiners (CFEs), and Certified Public Accountants (CPAs) has decades of experience assisting our clients with the case issues at hand.  

With a dedicated team of over 165 financial industry experts and consultants, Bates Group is the nation’s preeminent financial services consulting firm, providing end-to-end solutions in litigation, regulatory and compliance matters for financial services firms and their counsel. Our quantitative analysis and qualitative case strategy, advice, and expert testimony cover the full spectrum of investment activity. 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.

Bates can play an integral role in helping counsel understand the nature, and assess the validity, of allegations and present the results of that assessment in a format which counsel can easily interpret and explain. In recent years, our clients have looked to us for our expertise on:

  • Real Estate Investment Trusts (REITs) and Tenancy In Common investments (TICs)
  • Puerto Rico closed end bond funds
  • Life Insurance and Annuities
  • Master Limited Partnerships (MLPs)
  • Options
  • Exchange-Traded Funds (ETFs)
  • Failure to hedge concentrated positions in employee stock
  • Unauthorized trading as a result of margin calls

Covering the full spectrum of the retail investment products and services, our quantitative analysis and qualitative case strategy, advice, and expert testimony have been tested and accepted in all dispute resolution forums, establishing us as the gold standard of the industry. Additionally, by operating with a very competitive rate structure, clients experience a process and receive an end product at a much lower cost without any compromise to quality.   

Areas of industry expertise include, but are not limited to, the following:
  • All Risk Coverage
  • Auto-Callable Securities
  • Bad Faith
  • Bankruptcy
  • Builders Risk
  • Business Interruption
  • Callable Yield
  • Commercial Property Business Interruption
  • Customer Relationship Summary - Form CRS
  • D & O Liability
  • Damages Analysis
  • Disbursements
  • Eligible Employee 
  • Employment Practices Liability
  • Excess/Umbrella Liability
  • Exchange-traded notes (ETNs)
  • Force Majeure
  • General Market Decline
  • High Yield Bonds
  • Lost Business Income
  • Lost Wages Analysis
  • Managed Distribution Programs
  • Named Peril Coverage
  • Non-Publicly Traded Alternative Investments
  • Operational Complaints
  • Out-of-Pocket Losses Analysis
  • P&L Analysis
  • Property & Casualty
  • Registered Investment Advisers - RIAs
  • Regulation Best Interest - Reg BI
  • Securities Lending Accounts
  • Volatility Linked/Leveraged Products
  • Yield Enhancement Strategies – YES
  • Suitability
  • Annuities & Life Insurance
  • Market Manipulation
  • Supervision
  • Auction Rate Securities
  • Mutual Funds
  • Clearing
  • Bonds
  • Options - Failure to Hedge
  • Selling Away
  • Currency Trading
  • Portfolio Management
  • Employment Disputes
  • Futures
  • Preferred Securities
  • Promissory Note
  • Gov’t Sponsored Entities
  • Real Estate Mortgage
  • Churning
  • Hedge Funds
  • REITs
  • Insider Trading
  • International Securities
  • Research/Rating Agencies
  • Fiduciary Responsibilities
  • Investment Advisory
  • Securities Law
  • Investment Disclosures
  • Structured Products
  • Limited Partnerships
  • Sub Prime Mortgages
  • Margin Trading
  • Valuation

Contact Bates Group

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