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Retail Securities Litigation & Consulting

Retail Securities Litigation & Consulting

Bates’ expertise spans the full gamut of retail investment products and strategies -- from individual securities to structured products, from equity hedging strategies to complex options and margin positions, selling away, insider trading and more. We 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.

Find a Retail Securities Expert

Issues We Address

Sales Practice

  • Supervision
  • Suitability
  • Regulation Best Interest - Reg BI
  • Diminished Capacity

Employment Related Disputes

  • Wrongful or Constructive Termination of Advisors
  • U4/U5 Disclosure
  • Promissory Note Disputes
  • Advisor Transition/Broker Protocol
  • Advisor Employment Disputes [Link]

Data Analysis

  • P/(L) Analyses
  • Damages Assessment & Calculations
  • Market Analyses (Macro and Micro)
  • Product Analyses
  • Business Valuations

Operation of Trusts

  • Breach of Fiduciary Responsibilities
  • Portfolio Management
  • P/(L) Analyses
  • Damages 

Trading Related Issues 

  • Insider Trading
  • Market Manipulation
  • Currency Trading
  • Failure to Hedge Concentrated Positions 
  • Unauthorized Trading 
  • Margin Calls 
  • Churning
  • Selling Away
  • Best Execution
  • Clearing

Due Diligence

  • Adequacy of Disclosures
  • New Product Due Diligence

Products We Have Addressed

  • Real Estate Investment Trusts (REITs)
  • Tenancy In Common Investments (TICs)
  • Oil & Gas Limited Partnerships (LPs) and Master Limited Partnerships (MLPs)
  • Business Development Companies (BDCs)
  • Puerto Rico Closed-End Bond Funds
  • Puerto Rico Bonds
  • Special Purpose Acquisition Companies (SPACs)
  • Life Insurance and Annuities
  • Collateral Calls
  • Options
  • Exchange-Traded Funds (ETFs)
  • Fixed Income Securities
  • Equities
  • Domestic and International Securities
  • Employee Stock Ownership Plans
  • Foreign Currency
  • Yield Enhancement Strategies (YES)
  • Structured Products
  • Volatility Linked/Leveraged Products
  • Non-Purpose Loans
  • Margin Loans
  • Auction Rate Securities
  • Callable Yield
  • Disbursements
  • Futures
  • Government Sponsored Entities
  • Hedge Funds
  • High Yield Bonds
  • Managed Distribution Programs
  • Mutual Funds
  • Non-Publicly Traded Alternative Investments
  • Preferred Securities
  • Research/Rating Agencies
  • Sub Prime Mortgages

Clients We Serve

  • Broker Dealers
  • Independent Broker Dealers
  • Investment Advisors
  • SEC
  • State Regulators
  • Retail Investors
  • Insureds
  • Insurance Agents
  • Insurance Carriers
  • Insurance Coverage Firms
  • Insurance Claims Departments

Forums In Which We Operate

  • AAA
  • State Court
  • Federal Court
  • Mediation

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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.