Kennyhertz Perry, LLC
Braden Perry is a 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 enforcement attorney at a federal regulatory agency; and the Chief Compliance Officer/Chief Regulatory Attorney of a global financial institution. Mr. Perry has extensive experience advising clients in CFTC inquiries and investigations, particularly in enforcement matters involving data 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. He holds a Digital Currency Council Certification and is a frequent contributor to financial and legal publications, including Law 360, Vice.com, Lawyers.com, Institutional Investor, Minyanville.com, Value Walk, and NerdWallet.
Areas of Law and Practice
|Areas of Law||Areas of Practice|
|Advertising and Marketing||Advertising Law, Direct Marketing, False Advertising, International Marketing, Marketing Law, Multi-Level Marketing, Outdoor Advertising, Promotion Law, Sponsorship Law, Telemarketing Fraud, Telemarketing Law|
|Banking Law||ATM Networks, Bank Collections, Bank Directors and Officers Liability, Bank Failures, Bank Foreclosures, Bank Fraud, Bank Holding Company Law, Bank Holding Company Regulation, Bank Insolvency, Bank Mergers and Acquisitions, Banking Antitrust, Banking Litigation, Banking Regulation, Check Fraud, Commercial Banking, Commercial Credit, Commercial Loans, Consumer Banking, Consumer Loans, Credit Card Law, Credit Finance, Credit Fraud, Credit Insurance, Credit Law, Credit Union Law, Currency Law, Electronic Banking, Escrow Agent Liability, Escrow Law, Exchange Control, Fair Lending, Financial Law, Foreign Exchange, Interest and Usury, International Banking Law, International Loans, Lender Law, Lender Liability, Lender Regulation, Lenders Rights, Letters of Credit, Loan Restructuring, Loan Syndication, Loan Workouts, Loans, Merchant Banking, Offshore Banking, Savings and Loan Failures, Savings and Loan Fraud, Savings and Loan Law, Savings and Loan Liquidation, Savings and Loan Regulation, Secured Lending, Thrift Institution Failures, Thrift Institution Regulation, Thrift Institutions Law, Trade and Professional Associations, Trade Association Law, Truth in Lending|
|Business Law||Business Arbitration, Business Associations Law, Business Cooperatives, Business Crimes, Business Development, Business Dissolutions, Business Enterprises, Business Estate Planning, Business Formation, Business Fraud, Business Litigation, Business Mediation, Business Organization, Business Planning, Business Regulation, Business Reorganization, Business Start-Ups, Business Succession Planning, Business Successions, Business Syndication, Business Taxation, Business Torts, Business Transactions, Business Transfers, Business Trusts, Business Valuation, Buy-Sell Agreements, Buying and Selling of Businesses, Closely Held Business Estate Planning, Closely Held Business Law, Closely Held Business Taxation, Complex Business Litigation, Cooperative Taxation, Emerging Business Law, Emerging Growth Companies, Entrepreneurial Business Law, Family Business Law, Family Business Mediation, Family Business Successions, International Business Law, International Joint Ventures, Joint Ventures, Limited Liability Company Law, Minority Business Law, Pass-Through Entities, Private Business Law, Privatization, Professional Practices, Small Business Law, Sole Proprietorships, Strategic Alliances, Trade and Professional Associations, Trade Association Law|
|Commercial Law||Commercial Arbitration, Commercial Bad Faith, Commercial Constitutional Law, Commercial Crimes, Commercial Fraud, Commercial Liability, Commercial Litigation, Commercial Mediation, Commercial Torts, Commercial Transactions, Commercial Transfers, Commercial Trusts, Complex Commercial Litigation, International Commercial Arbitration, International Commercial Law, International Sale of Goods, Negotiable Instruments, Retail Liability, Sale of Goods, Secured Transactions, Uniform Commercial Code, Warehousing|
|Commodities||Commodities Arbitration, Commodities Finance, Commodities Fraud, Commodities Futures, Commodities Regulation|
|Communications and Media||Broadcast Applications, Broadcast Licensing, Broadcast Production and Distribution, Broadcast Radio, Broadcast Regulation, Broadcast Station Transfers, Broadcast Television, Broadcasting Law, Cable Communications, Cable Franchising, Cable Programming, Cable TV, Cellular Communications, Cellular Fraud, Cellular Radio, Cellular Telephone, Communications Common Carrier, Communications Finance, Communications Law, Digital Communications, FCC Licensing, FCC Regulation, International Communications Law, International Telecommunications Law, Mass Media Law, Public Broadcasting, Radio Common Carrier, Satellite Communications, Telecommunications Competition, Telecommunications Contracts, Telecommunications Finance, Telecommunications Law, Telecommunications Leasing, Telecommunications Licensing, Telecommunications Regulation, Wireless Communications|
|Consumer Law||Consumer Arbitration, Consumer Class Actions, Consumer Collections, Consumer Credit, Consumer Credit Compliance, Consumer Finance, Consumer Fraud, Consumer Litigation, Consumer Protection, Consumer Rights, Fair Credit Reporting Act|
|Contracts||Contract Drafting, Commercial Contracts, Contract Fraud, Contract Litigation, International Commercial Contracts, International Contracts|
|Criminal Law||Assault and Battery, Bribery, Burglary, Capital Offenses, Civil Forfeiture, Crime Victims Compensation, Criminal Antitrust, Criminal Appeals, Criminal Conspiracy, Criminal Defense, Criminal Forfeiture, Criminal Fraud, Criminal Investigation, Criminal Prosecution, Death Penalty, Drivers License Suspension, Driving While Intoxicated, DUI/DWI, Electronic Surveillance, Expungements, Extortion, Extradition, Federal Criminal Law, Felonies, Forensic Accounting, Forensic DNA, Forensic Medicine, Forensic Science, Forgery, Grand Jury Practice, Habeas Corpus, Hit and Run, Homicide, International Criminal Law, International Extradition, Mail Fraud, Malicious Prosecution, Manslaughter, Misdemeanors, Money Laundering, Murder, Parole and Probation, Post-Conviction Remedies, Search and Seizure, Sex Crimes, Sexual Assault, Shoplifting, Stalking, Theft, Traffic Violations, Vehicular Homicide, Victims Rights, Weapons Charges, White Collar Law, Wire Fraud, Wiretapping|
|Election, Campaign and Political Law||Administrative Lobbying, Campaign Ethics, Election and Campaign Finance, Election Law, Executive Lobbying, Legislative Lobbying, Legislative Redistricting, Lobbying, Voting Rights|
|Fraud||Art Fraud, Automobile Fraud, Civil Fraud, Fraud, Identity Theft, Odometer Tampering|
|Government||Congressional Investigations, County Government Law, County Liability, False Claims Act, Federal Government Law, Federal Grants, Federal Legislative Practice, Federal Tort Claims, Government Affairs, Government Agency Practice, Government Ethics, Government Immunity, Government Investigations, Government Relations, Government Risk Management, Government Tort Liability, Governmental Defense, Governmental Law, Governmental Liability, Initiative and Referendum, International Government Relations, Legislative Practice, Local Government Civil Rights, Local Government Defense, Local Government Law, Local Government Liability, Local Government Relations, Political Subdivision Liability, Public Officials Liability, Public Policy, Qui Tam Litigation, State Government Law, State Legislative Practice, Township Law|
|Internet Law||Content Licensing, Cybersquatting, Digital Signatures, Domain Name Infringement, Domain Names, E-Commerce, E-Commerce Taxation, Electronic Security, Internet Crimes, Internet Insurance, Internet Liability, Internet Licensing, Internet Litigation, Web Site Development|
|Investment Law||Asia-Pacific Investment, Capital Markets, Consumer Financial Services, Cross Border Investment, Derivative Products, Emerging Markets, Financial Services Law, Financial Services Regulation, Foreign Investment, Foreign Investment in the United States, Hedge Funds, Institutional Investment Law, International Capital Markets, International Investment, International Venture Capital, Investment Banking Law, Investment Company Law, Investment Fraud, Investment in Eastern Europe, Investment in Latin America, Investment in Russia, Investment Management, Investment Partnerships, Investment Regulation, Mezzanine Finance, Mutual Funds, Political Risk Insurance, Private Equity, Syndication, Trust Investment, Venture Capital|
|Law Enforcement||Corrections Law, Excessive Use of Force, False Arrest, False Imprisonment, High Speed Police Pursuit Litigation, Law Enforcement Disciplinary, Proceedings, Law Enforcement Liability, Law Enforcement Officers Rights, Police Brutality, Police Liability, Police Liability Defense, Police Misconduct|
|Litigation||Civil Litigation, Commercial Litigation, Complex and Multi-District Litigation, Complex Litigation, Defense Litigation, E-Discovery, Federal Civil Litigation, Federal Litigation, International Litigation, Long-Arm Litigation, Personal Injury Litigation, Trial Practice, U.S. Supreme Court Litigation|
|Securities Law||Bank Securities, Blue Sky Law, Broker-Dealer Arbitration, Broker-Dealer Registration, Broker-Dealer Regulation, FINRA Arbitration, Government Securities, Initial Public Offerings, Insider Trading, International Securities, Mortgage Backed Securities, Private Placement, Private Placement Syndication, Public Offerings, SEC Enforcement, Securities Arbitrage, Securities Arbitration, Securities Class Actions, Securities Consumer Arbitration, Securities Disclosure, Securities Finance, Securities Fraud, Securities Fraud Arbitration, Securities Fraud Class Actions, Securities Investor Protection Act, Securities Litigation, Securities Offerings, Securities Registration, Securities Regulation, Shareholder Agreements, Shareholder Derivative Actions, Shareholder Disputes, Shareholder Rights, Shareholders Law, Tax Exempt Securities|
|White Collar Crime||Embezzlement, White Collar Criminal Defense, White Collar Fraud|
- Kansas, Missouri
Partner | Kennyhertz Perry LLC
2011 - 2016
· Consults with clients throughout the United States in areas of litigation, internal investigations, enforcement matters, regulatory issues, and corporate transactions, including advising on mergers and acquisitions in highly complex regulatory structures.
· Focuses include antitrust, securities, financial institutions, commodities, employment, the Foreign Corrupt Practices Act (FCPA), and other emerging legal, compliance, and enforcement issues.
· Frequent contributor to financial and legal publications, including Institutional Investor, Lawyers.com, LawTV, Law360, Vice News, Compliance Crossing, and NerdWallet.com.
Senior Vice President and Chief Compliance Officer | Mariner Holdings
2010 - 2011
· 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 prospectus’s for all asset managers.
· Responsible for all regulatory interactions and customer complaints or inquiries.
Senior Trial Attorney | United States Commodity Futures Trading Commission
2008 - 2010
· 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 over 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. Litigation also included participating in cooperative enforcement matters including criminal referrals and assistance to the Department of Justice and state authorities.
· 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.
Attorney | Blackwell Sanders
2002 - 2008
· 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 designing and implementing 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 efficiently comply 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.
Juris Doctor | University of Kansas School of Law
1999 - 2002
Attorney Rating and Feedback
Publications and Presentations
1 ) Doing Time: White-collar sentencing has varied since 2005 ruling.
2 ) How to Become Successful in Compliance
TYPICAL HOURLY RATE: --
TYPICAL FIXED FEE: --
TYPICAL CONTINGENCY FEE: --
Kansas City, Missouri, Jackson County
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