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Braden Perry, Esq.
  • AML/BSA
  • Complex securities & derivatives
  • Digital assets
  • Due diligence
  • Fraud & enforcement
  • Standard of care

Braden Perry, Esq.

Braden M. Perry, Esq., is a senior regulatory, enforcement, and white-collar attorney with more than 20 years of practice in commodities, derivatives, securities, and financial institutions matters. He is Co-Founder and Partner of Kennyhertz Perry, LLC, advising clients nationwide on government inquiries, enforcement matters, and compliance. Earlier, he served as a Senior Trial Attorney at the U.S. Commodity Futures Trading Commission, litigating Commodity Exchange Act violations, and later as Chief Compliance Officer at Mariner Holdings. He has been engaged as an expert witness in 20 matters since 2016, in federal and state courts, a CFTC enforcement action, and an SEC receivership. He is a Certified Anti-Money Laundering Specialist and Qualified Risk Director, admitted in Missouri, Kansas, D.C., and Georgia.

Industry Experience
Education
Areas of Expertise
Keywords

Industry Experience

Kennyhertz Perry, LLC

Co-Founder, Partner Expert witness / consultant

Global Compliance Institute

Member, U.S. Chapter

Mariner Holdings, LLC

SVP, Regulatory Affairs and Compliance, CCO

U.S. CFTC

Senior Trial Attorney

Husch Blackwell Sanders, LLP

Attorney, White-Collar Criminal Defense

Emporia State University

Lecturer, Political Science

Education

University of Kansas School of Law

Juris Doctor (J.D.)

Kansas State University

B.S., Journalism

Areas of Expertise

Commodities, derivatives and securities regulation

CFTC and Commodity Exchange Act investigations, enforcement and rulemaking

FCM, broker-dealer and commodity trading advisor standard of care

Trading analysis of futures, hedging activity and off-exchange markets

Broker-dealer, RIA, '40 Act and hedge fund compliance

Precious metals industry regulation and standard of care

Financial crime, digital assets and governance

AML/BSA compliance programs, including cryptocurrency OTC trading

Cryptocurrency regulation, characterization and money transmission

Banking standard of care and cybersecurity controls

FCPA, Sarbanes-Oxley and corporate compliance programs

Standard of care for counsel in CFTC, securities and FINRA arbitration matters

Complex financial analysis and monetary tracing

Expert Keywords

  • 13F Act
  • 1940 Act compliance (Form ADV)
  • Anti-Money Laundering (AML)
  • arbitration
  • Bank Secrecy Act (BSA)
  • broker-dealer
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Chief Compliance Officer (CCO)
  • commodities
  • Commodity Exchange Act (CEA)
  • Commodity Futures Trading Commission (CFTC)
  • Commodity Trading Advisor (CTA)
  • compliance
  • cryptocurrencies
  • cybersecurity
  • derivatives
  • digital assets
  • enforcement
  • Foreign Corrupt Practices Act (FCPA)
  • Foreign Exchange (FX)
  • futures & options
  • Futures Commission Merchant (FCM)
  • hedge funds
  • hedging
  • High-Frequency Trading (HFT)
  • insider trading
  • Introducing Broker (IB)
  • investigations
  • mf global
  • Money Transmitter License (MTL)
  • National Futures Association (NFA)
  • off-exchange markets
  • oil and gas
  • Over-The-Counter (OTC) derivatives
  • policies and procedures
  • precious metals
  • receivership
  • Registered Investment Advisor (RIA)
  • risk governance
  • Sarbanes-Oxley Act (SOX)
  • Securities and Exchange Commission (SEC)
  • spoofing
  • standard of care
  • Suspicious Activity Reports (SARs)
  • swaps
  • wheat futures
  • white-collar defense
  • wire transfer

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