FINRA and SEC Expert Witness Testimony

Bates Group's end-to-end solutions assist financial services firms, broker-dealers (BDs) and investment advisers (IAs) — and their counsel — throughout the lifecycle of their legal matters. As part of the Bates team of over 175 substantive and quantitative consultants and testifying experts, our nationally recognized Bates Compliance experts are uniquely positioned to provide FINRA expert witness and SEC expert witness testimony, as well as in state and federal court.

In fact, many of our experts bring decades of background and expertise in compliance regulations, practices, and issues to their depositions and the witness stand from their previous professional experience in senior positions at Federal and State regulatory agencies and non-governmental organizations.

Our end-to-end approach to client partnership includes initial consultations, analyzing the facts and data in each matter, recommending a course of action, and, if necessary, testifying as a FINRA expert witness, an SEC expert witness, or at depositions and hearings.

In addition to providing FINRA expert witness and SEC expert witness testimony, Bates Compliance experts routinely assist financial service firms with other legal or compliance matters with FINRA and the SEC — as well as NFA, AAA, and JAMS, and other arbitration forums; and in state and federal court proceedings.

Our Compliance experts are ready to assist you and your counsel to address your legal issues through to a full and final resolution.

Visit our Expert Search page to find a Bates Compliance FINRA expert witness, SEC expert witness, or other testifying expert.