BATES GROUP, LLC
ORLANDO, FLORIDA

Over the course of 30 years, we’ve seen a lot of ups and downs in the markets firsthand. Along the way, Bates Group has helped our clients sort through the complexities and fallout of each financial upheaval and the inevitable litigation that followed by providing clear and accurate analysis, reporting and expertise. Each of these events caused investors to re-evaluate the way in which they think about the markets and investing. During the turmoil that followed, existing models and paradigms were challenged, and Bates Group helped to provide insight into these challenges by carefully separating fact from fiction and reducing critical issues to their core. John Bates founded Bates Private Capital as a family business in 1981. As a sole-proprietor, Mr. Bates’ vision was to provide The firm originally consisted of just two employees – John and his son. One would prepare an investment analysis, and the other would review it. In John’s view, two people were the minimum number of employees it took to guarantee accuracy. In the years that followed, the company grew, but analysis was still performed by hand.   often helped assemble exhibit binders alongside staff, reflecting a company-wide dedication to being responsive and showcasing a willingness to do whatever it took to assist our clients. Quality was our signature then, just as it is now, and the marketplace quickly took notice. By 1988, Bates Private Capital had grown substantially, and the company incorporated. Its continued dedication to client service and growing reputation in financial services attracted increased attention. Impressed by the quality of Bates’ work and clients, LECG, a national consulting firm, acquired Bates Private Capital in August of 2005. Thanks in large part to the efforts of then Managing Director Rob Lee, an early partner at Bates Private Capital and current Chairman of Bates Group’s Board of Directors, the firm continued to expand its horizons. Demand increased not only for the firm’s core retail securities expertise but its growing expertise in On April 1, 2011, under the leadership of President/CEO Jennifer Stout, the company was repurchased and Bates Group LLC was reborn. As the key driver of growth at the company, she has led Bates Group through one of the greatest periods of innovation and expansion. In addition to our renowned service offerings in retail litigation, the company developed During this period, Bates Group also greatly expanded its areas of expertise, and now boast the nation’s largest roster of nearly 100 financial services industry consultants and expert witnesses with expertise in over 250+ areas, all while continuing to offer unsurpassed financial analysis and reporting services. Our reach has also expanded into thought-leadership offerings, allowing our clients to benefit from our deep and diverse expertise in many areas: through Bates Research we offer weekly blogs, white papers and briefings. We also offer CLE programs featuring our nationwide roster of experts. 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 The Experts Of Bates Group Are Here To Help Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields. We assist financial services firms and their counsel throughout the lifecycle of their legal matters The Bates team of consulting and testifying experts and experienced big data and analytical professionals: (1) support arbitration, litigation, and enforcement matters, (2) help with the complexities of internal investigations, (3) assist in responding to and resolving regulatory investigations and examinations and (4) prepare and assist in the implementation, review and enhancement of compliance and supervision programs and policies/procedures.  Our dedication to meet our clients’ needs is our greatest priority and pride. WHAT IS MY EXPOSURE?  HELPING CLIENTS MAKE SENSE OF THE DOLLARS AT STAKE When an arbitration, litigation or enforcement matter is commenced against our clients, they call upon our industry-leading data analytics support team, which, following the collection and analysis of large amounts of data, is able to accurately estimate the potential damages at stake.  Using Bates Group’s proprietary software, our skilled professionals prepare high-quality data analytics reports, hypotheticals and what-if scenarios to support or rebut allegations before, during, and after hearings and while settling or mediating matters. Bates Group’s professionals and experts, with decades of practical senior regulatory, legal, compliance and business experience, are leveraged by our clients to conduct or participate in sensitive and complex regulatory and internal investigations in the U.S. and throughout the world.  Our regulatory practice team works closely with regional and multi-national financial services corporations, law firms, and federal and state regulators, which may also involve responding to the employee conduct that may be at issue in the arbitration, litigation or regulatory inquiry. Whether it's a large-scale insider trading investigation or a focused examination into specific transactions and/or events, we use experienced programmers and forensic experts with financial industry, fraud examination and accounting backgrounds to form an effective team.  Bates Group plays an integral role in helping counsel understand the nature of the data set being examined and presents its results in a format that counsel can easily interpret and explain. Our experts have served as investigators on behalf of clients, running internal U.S. and international fact‐finding missions, so management and counsel are in command of the facts in order to make the best-informed decisions.  Moreover, Bates Group is highly experienced in handling investigations involving large and complex data sets.  Our role in both internal and regulatory investigations is that of a partner to our clients and their counsel, bringing our technical, industry and managerial expertise to address the issues.