Sec Expert Witnesses

San Luis Obispo, California

Securities & Investments, Banking - RIA & Broker Dealer, Wealth Office, Organizational Consulting, Lending, Trusts Estates, Employment, Fiduciary, Portfolio Management, Crypto & Special Assets, Reg BI, Accredited Investor, Trust Administration, Firm Practice, Fraud, Risk Management, 1031 DST, Complex Insurance Plans, FINRA, OCC, SEC

I am the Chief Compliance Officer and Owner of Wealth Innovation, a boutique Registered Investment Advisor firm. We manage and advise upon various types of investment portfolios. I am also the President and Owner of Esoteric Advisors, a collaborative consulting and expert witness firm dedicated to fostering a robust and extensive collegial network of fellow experts. This practice specializes in unique areas within financial services, trusts, estates, and fiduciary matters. Previously, as a Region Manager and then Wealth Manager at a Fortune 500 financial services company, I collaborated with several leaders across various business lines to establish a unique hybrid Montecito Wealth office. My responsibilities included overseeing risk management, human resources, public relations, and corporate leadership. I am committed to maintaining the highest standards of compliance, legal integrity, and creditworthiness in both business and personal matters. Additionally, I have a strong b...

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

Braden Perry is a litigation, regulatory and government investigations attorney with Kennyhertz Perry, LLC. Mr. Perry has the unique tripartite experience of a white-collar criminal defense and government compliance, investigations, and litigation attorney at a national law firm; a senior trial attorney with the Commodity Futures Trading Commission; and the Chief Compliance Officer/Chief Regulatory Attorney of a global financial institution. Mr. Perry has extensive experience advising clients in federal inquiries and investigations, particularly in enforcement matters involving technological issues. He couples his technical knowledge and experience defending clients in front of federal agencies with a broad-based understanding of compliance from an institutional and regulatory perspective.

Avon by the Sea, New Jersey

Securities & Investments, Banking - Securities Litigation, Financial, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, Microcap, Regulatory Investigations, Hedge Fund, Sales, Compliance, Penny Stocks, Leverage, Disclosures, Margin

Mike is a seasoned financial compliance executive, regulator, and entrepreneur with over 30 years of experience leading global financial institutions, including Goldman Sachs, Lehman Brothers, and BNP Paribas. He has served as Chief Compliance Officer (CCO) for three broker-dealers, two Futures Commission Merchants (FCMs), the New York bank branch of BNP Paribas, and as Global Head of Financial Markets Compliance in Paris and London for four years. Mike’s comprehensive expertise spans compliance, risk management, and overseeing regulatory functions across multiple jurisdictions, product areas, and high-profile regulatory investigations. He now specializes in securities litigation support, arbitrations/courts, expert testimony, and expert reports for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market manipulation, KYC/AML, conflicts of interest, and failure to supervise. He has appeared before FINRA, SEC, CFTC, OFAC, and the DoJ, a...

New York

Securities & Investments, Banking - Securities Litigation, Financial, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, Microcap, Regulatory Investigations, Hedge Fund, Sales, Compliance, Penny Stocks, Leverage, Disclosures, Margin

Mike is a seasoned financial compliance executive, regulator, and entrepreneur with over 30 years of experience leading global financial institutions, including Goldman Sachs, Lehman Brothers, and BNP Paribas. He has served as Chief Compliance Officer (CCO) for three broker-dealers, two Futures Commission Merchants (FCMs), the New York bank branch of BNP Paribas, and as Global Head of Financial Markets Compliance in Paris and London for four years. Mike’s comprehensive expertise spans compliance, risk management, and overseeing regulatory functions across multiple jurisdictions, product areas, and high-profile regulatory investigations. He now specializes in securities litigation support, arbitrations/courts, expert testimony, and expert reports for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market manipulation, KYC/AML, conflicts of interest, and failure to supervise. He has appeared before FINRA, SEC, CFTC, OFAC, and the DoJ, a...