Securities Law Expert Witnesses: 2

Braden M. Perry specializes in complex Financial Regulation, Enforcement, and Compliance Matters involving Commodities, Futures, Derivatives, and Securities. He is skilled in distilling highly technical and complex subject matter into clear, logical, and accessible analysis for fact finders, regulators, and courts. He excels at explaining financial and regulatory frameworks, tracing monetary flows, and articulating institutional practices in ways that are both understandable and persuasive.

Litigation Support - Mr. Perry works with attorneys, law firms, and regulatory professionals seeking a knowledgeable and credible expert in financial regulation, enforcement, and compliance. Ideal clients are those involved in complex litigation, arbitration, or investigations requiring clear, fact-based analysis of commodities, futures, derivatives, securities, or emerging technology issues. He particularly enjoys collaborating with counsel who value strategic insight, responsiveness, and the ability to translate highly technical matters into persuasive, understandable evidence for fact finders.

Mr. Perry brings a unique perspective as a former CFTC trial attorney and Chief Compliance Officer of a global financial institution, bridging regulatory enforcement, institutional compliance, and litigation strategy.

Areas of Expertise:

• CFTC, SEC, FINRA, NFA, CFPB, FTC Investigations
• Standards of Care for Broker - Dealers
• CTAs
• FCMs
• Internal and Regulatory Compliance Programs
• Nationally recognized for work in Cryptocurrency, Blockchain, AI, and Cybersecurity

View Braden M. Perry's Consulting Profile.

James W. Lovely, BBA, MBA, JD, is an experienced provider of expert witness testimony, case analysis and consulting advice. He has more than 30 years of business and legal experience in the financial markets with particular expertise in:

• Complex financial products, including swaps, swaptions, options, futures, repurchase agreements, foreign exchange, commodities, prime brokerage arrangements, securitizations, structured notes and municipal bonds;
• Secured commercial lending and hedging arrangements often (but not exclusively) involving those complex financial products; and
• U.S. commercial, commodities, securities and banking law and regulations governing those financial products; and
• LIBOR transition to SOFR, Ameribor and other rates.

Mr. Lovely is adept at simplifying or clarifying complex financial products and disputes and translating between a client’s legal team and its executive/financial officers while delivering insightful analysis and persuasive testimony. He is a very capable writer and public speaker and currently maintains his own consultancy in the above-described areas of expertise. He is intimately familiar with ISDA, NAESB, EEI, ICOM, IFEMA and SIFMA financial product documentation, forms and protocols. 

Recent Expert Witness Engagements:

• Analysis of documents, opposing expert’s report, and damages, and deposition testimony in NY case re: $500 million municipal bond repurchase agreement, interest rate derivatives, and municipal bond securitizations.
• Analysis of transaction documents and opposing expert’s report, preparation of rebuttal report, and deposition testimony on $17 million aircraft loan, related guarantees, and swap documentation and sales practices in Federal case.
• Preparation of expert rebuttal report and deposition testimony in a U.S. Federal District Court case involving claims of wrongful registration of transfer of securities under the UCC and refuting fiduciary duty and negligence claims asserted against the issuer defendant.
• Analysis of trading activity and millions in losses in an NFA arbitration involving an agricultural futures and options account of a U.S. grain farmer and claims due to discretionary trading in a non-discretionary hedging account.

View James Lovely's Consulting Profile.