Expertise
Former CFTC Senior Trial Attorney and CCO of a full-service financial firm, including broker-dealer, RIA, and alternative funds. Analysis of securities, derivatives, commodities, and crypto trading conduct, investment decision-making, and damages theories in disputed matters. Evaluation of trading strategies, hedging activity, execution practices, and loss causation based on market structure, regulatory frameworks, and industry standards of care. Assessment of the reasonableness of investment and trading conduct under real-world constraints, including liquidity, volatility, margin, and regulatory limitations. Review of alternative trading scenarios and claimed economic harm. Experience spans futures, derivatives, securities, and digital asset markets, including matters involving broker-dealers, RIAs, commodity firms, funds, and financial institutions, in arbitration, civil litigation, criminal matters, and regulatory proceedings.
(For search purposes, not intended to be a comprehensive list)
Expertise
Former CFTC Senior Trial Attorney and CCO of a full-service financial firm, including broker-dealer, RIA, and alternative funds. Analysis of securities, derivatives, commodities, and crypto trading conduct, investment decision-making, and damages theories in disputed matters. Evaluation of trading strategies, hedging activity, execution practices, and loss causation based on market structure, regulatory frameworks, and industry standards of care. Assessment of the reasonableness of investment and trading conduct under real-world constraints, including liquidity, volatility, margin, and regulatory limitations. Review of alternative trading scenarios and claimed economic harm. Experience spans futures, derivatives, securities, and digital asset markets, including matters involving broker-dealers, RIAs, commodity firms, funds, and financial institutions, in arbitration, civil litigation, criminal matters, and regulatory proceedings.
(For search purposes, not intended to be a comprehensive list)
Braden M. Perry is a securities and commodities attorney, consultant, and expert witness with extensive experience in complex financial, regulatory, and trading-related disputes. He is a former Senior Trial Attorney with the U.S. Commodity Futures Trading Commission, where he investigated and litigated enforcement actions involving futures, derivatives, market manipulation, off-exchange trading, and related misconduct. His work included coordination with federal prosecutors and other regulators and provided firsthand insight into regulatory expectations, investigative methods, and enforcement decision-making.
Following the CFTC, Mr. Perry served as Chief Compliance Officer and regulatory counsel for a broker-dealer, multiple RIAs, registered funds, hedge funds, and affiliated entities, overseeing compliance programs, regulatory examinations, disclosures, and supervisory controls across securities and commodities markets. He is a Certified Anti-Money Laundering Specialist and a Qualified Risk Director®, and regularly advises boards and senior management on risk governance, compliance failures, and regulatory response.
As an expert witness, Mr. Perry has been retained in arbitration, federal and state litigation, and regulatory proceedings on matters involving trading conduct, hedging activity, market structure, loss causation, and standards of care. His experience spans futures and derivatives trading, broker-dealer and RIA supervision, commodity firms, digital asset and cryptocurrency markets, money transmission issues, and regulatory compliance failures. He is frequently engaged to evaluate the reasonableness of trading and investment decisions, assess breaches of duty, evaluate alternative scenarios, and explain the regulatory and market context to factfinders in complex financial disputes.
Curriculum Vitae
SER Voting Member
