Cftc Expert Witnesses

San Diego, California

Securities & Investments, Financial - Securities Fraud, Breach of Fiduciary Duty, Standard of Care, Investment Fraud, NAV / Valuation Disputes, Financial Services Fraud, Investment Fund Disputes, Conflicts of Interest, Regulatory Compliance, FINRA Arbitration, Misrepresentation, Negligence, Fee Disputes, Due Diligence, Derivatives, AML, Hedge Funds, PPM, Side Letters, CFTC

Patrick Kelly provides expert analysis in complex financial matters involving financial services and securities fraud, breach of fiduciary duty, conflicts of interest, valuation disputes, fee disputes, disclosure practices, and regulatory compliance. He is available for case review, merit analysis, consulting, expert report preparation, rebuttal analysis, and testimony. His hedge fund management, financial regulatory, and fiduciary experience, combined with his engineering background, provide a disciplined analytical approach to complex financial matters. He is a Registered Investment Adviser (RIA) representative and former hedge fund founder and manager with experience in suitability, valuation, regulatory compliance, and derivatives. He oversaw all aspects of hedge fund operations, including structuring, governance, offering and disclosure documents, portfolio management, financial reporting, investor communications, and fund winddown. He has successfully completed three routin...

Mission Woods, Kansas

Securities & Investments, Cryptocurrency - CFTC, Commodity Futures Trading Commission, SEC, Securities and Exchange Commission, Bitcoin, Virtual Currency, Anti-Money Laundering, AML, National Futures Association, Chicago Mercantile Exchange, CME, Commodities, Options, Trading, Compliance, white-collar, corporate compliance, market manipulation, financial crimes, Fraud

I am a regulatory attorney, consultant, and expert witness with over twenty years of experience at the intersection of law, finance, and technology. I regularly assist attorneys, corporations, and regulators in matters involving securities, derivatives, commodities, broker-dealers, investment advisers, hedge funds, private equity, venture capital, and financial institutions. My work spans compliance, enforcement defense, risk management, white-collar defense, internal investigations, complex litigation, arbitration, and mediation. My background includes serving as a Senior Trial Attorney at the U.S. Commodity Futures Trading Commission (CFTC), where I investigated and litigated high-profile cases involving fraud, market manipulation, and complex financial products, and as Chief Compliance Officer and Senior Vice President of Regulatory Affairs for a global financial institution, where I oversaw broker-dealer, RIA, hedge fund, and investment company compliance. As a Partner at Kenny...