Braden (M.) P.
Attorney at Law
Experience
Jan 2024 - Present
1 year 11 monthsNew York, United States
Member
Global Compliance Institute
- Member of the U.S. Chapter and responsible for growing GCI presence in the United States.
- Advise and assist with the expansion efforts on a global basis.
- Provide training on different financial crime-related topics.
Jan 2011 - Present
14 years 11 monthsCo-Founder/Partner
Kennyhertz Perry, LLC
- Consults with clients throughout the United States in areas of government inquiries and investigations, litigation, internal investigations, enforcement matters, regulatory issues, and corporate transactions, specializing in complex, novel, and emerging financial issues.
- Focuses include commodities, derivatives, securities, financial institutions, the Foreign Corrupt Practices Act ("FCPA"), technology, cybersecurity, and compliance.
- Certified Anti-Money Laundering Specialist ("CAMS"), assisting clients in all areas of BSA/AML policies and procedures, including advising on government inquiries involving suspicious behavior.
- Criminal Justice Act Panelist for the District of Kansas and the Western District of Missouri.
- Serves on the W.D. Mo, D. Kan., and S.D. GA Criminal Justice Act ("CJA") Panels, Georgia Association of Criminal Defense Lawyers ("GACDL") member and GACDL Lawyer Assistance Team "Strike Force" volunteer, and Missouri Coalition for the Right to Counsel Pro Bono participant.
- Serves as an expert witness and consultant in complex regulatory and criminal matters.
- Engaged by the Office of the State Bank Commissioner of Kansas to review and revise long-standing policies and procedures for modernization and thoroughness from regulatory change (Kansas Public Bid Event ID 17300-EVT0005059).
- Engaged by the Kansas 911 Coordinating Council (now State Board) to represent its legal interests by participating in and intervening in state and federal proceedings before administrative agencies through appeal or original action, including reviewing all contracts and MOUs, preparing testimony, pleadings, and other documents, researching novel legal issues and providing the Council on various regulatory matters, and points of law, and assisting with proposed legislative bills (Kansas Public Bid Event ID 17300-EVT0006565).
- Engaged by the Kansas Department of Health and Environment to represent its legal interests in federal bankruptcy proceedings (Kansas Public Bid Event ID 17300-EVT0006843).
- Selected as a Hearing Panelist for the Disciplinary and Ethics Commission of the Certified Financial Planner Board of Standards, Inc. ("CFP Board").
- Selected to the Directors and Chief Risk Officers ("DCRO") Cyber Risk Governance Council.
- Selected to the Association of Derivative Professionals ("NIBA") Advisory Group. Currently serve as co-chair of the NIBA Compliance Officers Group ("COG").
- FINRA and NFA Arbitrator and selected to the Mediation and Conciliation Network ("MCN") Panel of Expert Neutrals representing Kansas as an Accredited Dispute Resolutions Professional (Mediator, Conciliator, Ombudsman, and Arbitrator).
- Frequent speaker on financial and regulatory issues and contributor to financial and legal publications.
- First-chaired trials in Federal Courts, Missouri Circuit Courts, and Kansas Chapter 60 and 61 courts, representing both plaintiffs and defendants in various financial, commercial, criminal, and collection matters.
Jan 2010 - Dec 2011
2 yearsLeawood, United States
Senior Vice President, Regulatory Affairs and Compliance/CCO
Mariner Holdings, LLC
- Responsible for Broker-Dealer, multiple RIA, '40 Act, and hedge funds' compliance with policies and government/industry regulations, including identifying and assessing the compliance risks of the firms, implementing effective policies and procedures, including insider trading and related party transaction policies, and reviewing their continued adequacy and effectiveness.
- Prepared and reviewed various SEC and FINRA filings, including 13Fs, Form 3s, Form 5s, Rule 407 letters, Restricted Securities, and FINRA financial reports.
- Prepared and reviewed ADVs, Exempt Fund documentation, and Mutual Fund prospectuses for all asset managers.
- Responsible for all regulatory interactions and customer complaints or inquiries.
Jan 2008 - Dec 2010
3 yearsKansas City, United States
Senior Trial Attorney
United States Commodity Futures Trading Commission
- Conducted investigations and litigation under the Commodity Exchange Act ("Act") and the rules and regulations adopted by the Commodity Futures Trading Commission ("CFTC") under the Act, including responsibility for all aspects of investigations of suspected violations, administrative proceedings, and civil actions in Federal district courts, including injunctive and subpoena actions.
- Investigative activities included taking testimony and the acquisition and analysis of documents and testimony relevant to suspected violations on both exchange and off-exchange markets.
- Litigation included preparing pleadings, including complaints and motions for statutory restraining orders, preliminary injunctions, and summary judgment and the conducting of hearings and trials.
- Served as a liaison to the Northern District of Illinois U.S. Attorney's Office and Federal Bureau of Investigation in a high-profile Forex fraud investigation.
- Named as Liaison to the Office of General Counsel and led a 4-person intra-agency task force charged with implementing new procedures for enforcement staff, focused on anticipated regulatory changes in the wake of financial reform.
- Member of an SEC, FERC, and CFTC inter-agency task force on document retention risks in government agencies and drafted guidance for multiple agencies on risks related to data preservation and FOIA issues.
Jan 2002 - Dec 2008
7 yearsKansas City, United States
Attorney
Husch Blackwell Sanders, LLP
- Member of the White-Collar Criminal Defense, Government Compliance, Investigations, and Litigation, Commercial and Business Litigation, and Digital Discovery and Records Management practice groups.
- Represented clients in the prosecution and defense of complex business disputes in domestic and international jurisdictions, served as counsel to publicly and privately held companies undergoing both internal and external investigations, assisted clients in recognizing and avoiding the expanding risk of corporate criminal liability, and designed and implemented targeted corporate compliance programs.
- Specialized in identifying risks associated with highly regulated business and proactively limit risks through advising and counseling on government regulations and drafting policies and procedures to comply efficiently with the rules and regulations.
- Designed and implemented Sarbanes-Oxley and corporate governance policies and procedures for publicly traded companies, including policies and procedures for Foreign Corrupt Practices Act, financial reporting, executive compensation, and subsidiary monitoring compliance.
- First-chaired trials in Missouri Circuit Courts and Kansas Chapter 60 and 61 courts, representing both plaintiffs and defendants in various commercial, criminal, and collection matters.
Jan 2001 - Dec 2002
2 yearsLecturer, Political Science 480
Emporia State University
- Lectured survey course on legal concepts, including current topics in the practice of law.
- Created original curriculum and testing materials, and responsible for all aspects of course management.
Jan 2001 - Dec 2002
2 yearsJudicial Clerkship Clinic, Clerk for the Honorable John W. Lungstrum
United States District Court for the District of Kansas
- Participated in judiciary duties as a clerk, including conducting legal research and drafting orders and opinions.
- Assisted judicial clerks with the process of federal sentencing guideline analysis, focusing primarily on narcotic sentencing.
Summary
I am a regulatory and enforcement attorney with extensive experience in complex financial, compliance, and white-collar matters. Before co-founding Kennyhertz Perry, I served as a Senior Trial Attorney with the U.S. Commodity Futures Trading Commission (CFTC) and later as Chief Compliance Officer for a global financial institution. That background allows me to bridge the gap between enforcement, compliance, and litigation in highly regulated industries.
My practice focuses on securities, commodities, derivatives, fintech, and emerging technologies. I represent clients in investigations and enforcement actions involving the CFTC, SEC, FINRA, NFA, CFPB, FTC, and DOJ, and advise on compliance, risk management, and internal controls. I also serve as an expert witness in cases involving standards of care, supervisory obligations, AML and KYC compliance, trade practices, and regulatory expectations for financial professionals.
Nationally recognized for my work in cryptocurrency, blockchain, and cybersecurity, I aim to make complex technical and financial issues understandable and actionable for courts, counsel, and regulators.
Languages
English
NativeEducation
Kansas State University
B.S. · Journalism · Manhattan, United States
University of Kansas School of Law
J.D. · Law · Lawrence, United States
Certifications & licenses
Georgia Bar
Certificate In Risk Governance®
Qualified Risk Director®
District Of Columbia Bar
Certified Anti-Money Laundering Specialist
DCC Digital Currency Certification
Kansas Bar
Missouri Bar
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