With over 165 financial industry experts and consultants, Bates Group is one of the nation's leading financial services litigation consulting and expert witness firms. Applying our extensive industry experience, we are uniquely positioned to assist broker-dealers and investment advisers, State and Federal Regulators, and retail and institutional investors, providing effective solutions in pre-litigation and litigation settings for our clients and their counsel. Our quantitative analysis and qualitative case strategy, advice, and expert testimony cover the full spectrum of the retail investment industry. 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.
Our accomplished team of former SEC and industry regulators, former senior in‐house legal and compliance officers, former brokers, advisors and managers, Chartered Financial Analysts (CFAs), Certified Fraud Examiners (CFEs), and Certified Public Accountants (CPAs) has decades of experience and is proficient at assisting clients with the case issues at all stages of the legal process: providing early case assessments, preparing P/(L) analyses, preparing damage analyses and “what if” scenarios, providing expert consultation in mock arbitrations or in mediation & settlement discussions, and expert witness testimony if the need arises.
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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