Retail Securities Litigation Consulting & Testimony
Who We Help?
Bates Group supports law firms, broker-dealers, RIAs, financial institutions, insurers, and their counsel in retail, institutional, and complex securities matters. Our nationwide roster of consultants and experts brings experience across more than 150 areas of financial services expertise.
What We Do?
Bates Group helps counsel assess allegations involving investment products, trading strategies, supervision, suitability, selling away, insider trading, options, margin, structured products, and related conduct. We provide early case assessments, profit-and-loss analyses, damages analyses, expert consultation, and testimony.
When Do Clients Call Bates Group?
Clients call Bates Group when they need to understand complex allegations, evaluate investment account activity, assess damages, or prepare for arbitration, litigation, regulatory inquiry, mediation, or settlement. We are often retained when counsel needs clear analysis that can be interpreted, explained, and defended.
How Clients Use Bates Group?
Clients use Bates Group to analyze facts, evaluate case issues, prepare financial analyses, support mock arbitrations and mediations, and provide expert opinions. Our experts consult and testify in FINRA, AAA, and JAMS arbitrations, SEC and other regulatory matters, and state and federal court proceedings.
Our Approach
Bates Group combines quantitative analysis with substantive industry expertise from former regulators, legal and compliance officers, former brokers, advisors, branch managers, CFAs, CFEs, and CPAs. We deliver practical, case-specific analysis that helps counsel assess exposure, strengthen strategy, and present complex financial issues clearly.
Experience Across Financial Services
Issues We Address
Bates Group advises clients on a broad range of financial services matters, including sales practices, supervision, suitability, Regulation Best Interest (Reg BI), employment disputes, trust operations, trading practices, due diligence, and fiduciary responsibilities. We also provide quantitative analyses such as profit and loss, damages, market and product analyses, business valuations, and assessments of complex trading and operational issues, including insider trading, market manipulation, selling away, unauthorized trading, margin, and best execution.
Products We Have Addressed
Bates Group has experience analyzing a broad range of investment products, including equities, fixed income securities, mutual funds, ETFs, options, structured products, alternative investments, life insurance, annuities, hedge funds, REITs, SPACs, foreign currency, futures, and margin lending. Our experts also evaluate complex and specialized products such as Puerto Rico bond funds, auction rate securities, business development companies (BDCs), oil and gas partnerships, volatility-linked products, employee stock ownership plans (ESOPs), and other domestic and international investment vehicles.
Clients We Serve
Bates Group has experience analyzing a broad range of investment products, including equities, fixed income securities, mutual funds, ETFs, options, structured products, alternative investments, life insurance, annuities, hedge funds, REITs, SPACs, foreign currency, futures, and margin lending. Our experts also evaluate complex and specialized products such as Puerto Rico bond funds, auction rate securities, business development companies (BDCs), oil and gas partnerships, volatility-linked products, employee stock ownership plans (ESOPs), and other domestic and international investment vehicles.
Forums In Which We Operate
Bates Group provides consulting and expert witness services in FINRA and AAA arbitrations, mediations, and proceedings before state and federal courts. Our experts also support clients throughout regulatory investigations, enforcement actions, and other dispute resolution forums.