Litigation and Regulatory

With over 175 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, litigation, and arbitration settings for our clients and counsel. Our quantitative analysis and qualitative case strategy, advice, and expert testimony cover the full spectrum of the financial services 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 advisory services, analysis and testimony based on experience and judgment.

Technology-driven questions are increasingly critical in deciding investigations, disputes, and regulatory matters. Whether in relation to electronic evidence, a cyber-related incident, or when a technology-related compliance or litigation obligation becomes the focal point of a matter, firms rapidly find themselves facing pressure on multiple fronts, responding to regulatory notification timelines, evaluating discovery cost, and ensuring evidentiary defensibility, to name a few. We offer support in digital forensics, eDiscovery, data governance, and privacy and information security services that can help reduce the operational strain of responding under scrutiny, or otherwise offer services to resolve such concerns pre-emptively. Bates Group helps organizations and law firms prepare for those moments before they arrive and enables them to respond with precision when they do, for both proactive (assessments, compliance, governance) and reactive (incident response, discovery, remediation) scenarios.