Employment Dispute Litigation

With over 30 years of industry experience and advanced quantitative capabilities, Bates Group is well positioned to support your employment and human resources-related litigation.  We have extensive experience in such cases, including Form U5 defamation, wrongful termination, discrimination, breakaway advisor and breach of contract claims arising from employment agreements, restrictive covenants, non-competes and the Broker Protocol. Our vast experience in employment matters covers internal review processes and procedures and related compliance, supervision, sales practice and reporting standards.

Bates’ substantive employment experts are proven industry professionals with decades of experience working with SEC and state-registered RIA firms, broker-dealers, banks and other financial services providers employing full-service, hybrid or independent channel business models.  Our experts are seasoned industry leaders with years of business, compliance, supervision, sales practice, whistleblower and investigation experience.

Damages in Employment Litigation

Bates Group damage experts provide damages and compensation analyses, including modeling for past and future earnings losses, related tax consequences and “what-if scenarios.” We specifically work to assist counsel in analyzing the opposing parties’ damages models, providing counsel an understanding of how the underlying assumptions and calculations including the use of discount rates impact the amount of claimed damages

Our Employment Experts Testify

Bates Group helps you analyze and assess your case, so you will be well prepared whether you are headed to mediation or trial.  When requested or required, such as in court cases, our experts prepare cogent, timely, well-written expert reports and are fully prepared to present and defend their opinions.

If your case proceeds to hearing or trial, our experts also testify in person or virtually, drawing upon years of testimony experience across the country in arbitrations before FINRA, AAA, JAMs and others; federal and state court actions; and in regulatory proceedings before the SEC, FINRA and state regulators.