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 litigation life cycle from a pre-litigation complaint through to testifying at hearing. 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 100 experts and consultants, Bates Group is the leader in retail securities litigation, providing consulting and expert testimony for securities attorneys and key decision makers. Our experts and case managers work closely with our clients to examine the issues, markets, industry, regulatory context, historical analogies, and other experts’ work product to develop thoughtful, precise, and impactful 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:

  • 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
  • REIT
  • 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