Expert Details
Financial Regulations & Enforcement Expert Witness
ID: 740842
Kansas, USA
Expert’s background includes service as a Senior Trial Attorney at the U.S. Commodity Futures Trading Commission (CFTC), where he investigated and litigated high-profile cases involving fraud, market manipulation, and complex financial products. He also served as Chief Compliance Officer and Senior Vice President of Regulatory Affairs for a global financial institution, where he oversaw broker-dealer, RIA, hedge fund, and investment company compliance. Today, he is a partner at a business and litigation law firm, where he continues to advise clients nationwide on regulatory and enforcement matters, financial institution compliance, and emerging technology risks.
He is widely recognized for his expertise in cryptocurrency, digital assets, blockchain, fintech, regtech, cybersecurity, data privacy, online forensics, and advertising fraud, including click-fraud analysis. His expert witness engagements include testimony and consulting on securities and cryptocurrency regulations, trading analysis, broker-dealer and FCM standard of care, monetary and asset tracing, complex forensic analysis, compliance reviews, and regulatory investigations before agencies including the CFTC, SEC, FINRA, NFA, CFPB, FTC, OCC, FDIC, and DOJ.
Expert holds a J.D. from the University of Kansas School of Law, where he was a member of the Kansas Journal of Law and Public Policy, and a B.S. in Journalism from Kansas State University. He is admitted to practice law in Missouri, Kansas, the District of Columbia, and Georgia. He is a Certified Anti-Money Laundering Specialist (CAMS), a Qualified Risk Director (QRD®), and holds a Certificate in Risk Governance®. He previously held Series 7, 24, and 66 securities licenses and is certified in Digital Currency (DCC).
He has served as a panelist for the Certified Financial Planner Board’s Disciplinary and Ethics Commission, as a FINRA and NFA arbitrator, and as a neutral with the Mediation and Conciliation Network. He has been selected to the DCRO Cyber Risk Governance Council and the Association of Derivative Professionals’ (NIBA) Advisory Group, where he currently co-chairs the Compliance Officers Group.
Expert frequently lectures and publishes on topics including financial regulation, enforcement, cryptocurrency, blockchain, fintech, cybersecurity, regulatory policy, and compliance. His speaking engagements include national and international conferences, bar associations, and university programs. He has been recognized by Super Lawyers (White Collar Defense, 2021–2024), Best Lawyers in America (2022–2024), and Missouri Lawyers Media as a “Law Firm Leader” (2024) and a member of “The Power 30” in White Collar Defense (2020–2022).
Attorneys retain Expert for his ability to translate complex financial, regulatory, and technological issues into clear, actionable analysis for courts, juries, regulators, and decision-makers. His unique combination of enforcement, compliance, litigation, and technical experience allows him to provide comprehensive support in expert witness testimony, forensic analysis, trial consulting, standard of care opinions, and litigation strategy.
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 2002 | Degree: JD | Subject: Law | Institution: University of Kansas |
| Year: 1999 | Degree: BS | Subject: Journalism | Institution: Kansas State University |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2011 to Present | Employer: Undisclosed | Title: Partner | Department: |
Responsibilities:• Advises clients on government inquiries, litigation, internal investigations, and enforcement matters.• Specializes in commodities, derivatives, securities, financial institutions, FCPA, technology, cybersecurity, and compliance. • Provides AML compliance expertise, including government inquiries on suspicious behavior. • Serves on multiple Criminal Justice Act panels and provides pro bono defense services. • Acts as expert witness and consultant in complex regulatory and criminal matters. • Retained by state agencies to modernize policies, handle legal representation, and advise on regulatory issues. |
|||
| Years | Employer | Title | Department |
| Years: 2024 to Present | Employer: Undisclosed | Title: Advisor | Department: |
Responsibilities:• 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. |
|||
| Years | Employer | Title | Department |
| Years: 2010 to 2011 | Employer: Mariner Holdings, LLC | Title: Senior Vice President, Regulatory Affairs and Compliance/CCO | Department: |
Responsibilities:• 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. |
|||
| Years | Employer | Title | Department |
| Years: 2008 to 2010 | Employer: United States Commodity Futures Trading Commission (CFTC) | Title: Senior Trial Attorney | Department: Division of Enforcement |
Responsibilities:• 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. |
|||
| Years | Employer | Title | Department |
| Years: 2002 to 2008 | Employer: Husch Blackwell, LLP | Title: Attorney | Department: |
Responsibilities:• 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. |
|||
| Years | Employer | Title | Department |
| Years: 2001 to 2002 | Employer: Emporia State University | Title: Lecturer | Department: Political Science |
Responsibilities:• 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. |
|||
Government Experience
| Years | Agency | Role | Description |
|---|---|---|---|
| Years: 2008 to 2010 | Agency: United States Commodity Futures Trading Commission (CFTC) | Role: Senior Trial Attorney; Division of Enforcement | Description: Responsible for all aspects of enforcement matters, including suspected violations, administrative proceedings, and civil actions in federal district courts, such as injunctive and subpoena actions. Investigative activities involved taking testimony, acquiring and analyzing documents, and developing evidence from both exchange and off-exchange markets. In litigation, Expert prepared pleadings, including complaints and motions for statutory restraining orders, preliminary injunctions, and summary judgment, and he conducted hearings and trials. He also served as a liaison to the U.S. Attorney’s Office for the Northern District of Illinois and the Federal Bureau of Investigation in a high-profile foreign exchange fraud investigation. Beyond casework, Expert was named liaison to the Office of General Counsel and led a four-person intra-agency task force that implemented new enforcement procedures in anticipation of financial reform. He was also a member of an inter-agency task force with the SEC, FERC, and CFTC, where he drafted guidance for government agencies addressing document retention risks, data preservation, and Freedom of Information Act compliance. |
International Experience
| Years | Country / Region | Summary |
|---|---|---|
| Years: to Present | Country / Region: Various | Summary: Expert has extensive international experience through both his government service and private consulting work. At the CFTC, he investigated and litigated matters with significant cross-border elements, including foreign exchange fraud and multinational commodity trading practices. In private practice, he has advised financial and commodity institutions on cross-border regulatory compliance, risk management, and enforcement issues, frequently working with matters that spanned multiple jurisdictions. His experience includes engagement with international regulators such as the UK Financial Conduct Authority (FCA), as well as advising on the interplay between U.S. requirements and foreign regulatory regimes. This has positioned him to provide practical guidance in cases involving multinational institutions, emerging technologies, and global markets. |
Career Accomplishments
| Associations / Societies |
|---|
| • Global Compliance Institute (2024–Present) • Association of Derivative Professionals (NIBA), Co-Chair of Compliance Officers Group • FINRA and NFA Arbitrator • Mediation and Conciliation Network Panel of Expert Neutrals • Directors and Chief Risk Officers (DCRO) Cyber Risk Governance Council |
| Licenses / Certifications |
|---|
| • Missouri Bar (Admitted 2002) • Kansas Bar (Admitted 2003) • District of Columbia Bar (Admitted 2022) • Georgia Bar (Admitted 2024) • Qualified Risk Director (2023-Present) • Certificate in Risk Governance (2023-Present) • Certified Anti-Money Laundering Specialist (2018-Present) • DCC Digital Currency Certification (2015) • Former FINRA Securities Licenses: SIE, Series 7, 66, 24 (Lapsed) |
| Professional Appointments |
|---|
| • Hearing Panelist, Certified Financial Planner Board of Standards • Legal counsel and board roles for chambers of commerce, gaming, and healthcare organizations • Appointed by Governor of Kansas to the State Board of Indigents’ Defense Services |
| Awards / Recognition |
|---|
| • Super Lawyers, White-Collar Defense (2021-2024) • Best Lawyers in America, Best Lawyers (2022-2024) • Law Firm Leader, Missouri Lawyers Media (2024) • The Power 30: White-Collar Defense, Missouri Lawyers Media (2021-2022) • Inaugural Member, Kansas City Business Journal Leadership Trust (2019) |
| Publications and Patents Summary |
|---|
| Expert has published dozens of articles in outlets such as MarketWatch, Law360, Kansas City Business Journal, and industry journals. Topics include cryptocurrency, compliance, fraud, and regulatory reform. He has given 30+ speaking engagements globally on financial regulation, cryptocurrency, AML, FCPA, compliance, and legal ethics. |
Additional Experience
| Expert Witness Experience |
|---|
| Retained as expert in 20+ regulatory, financial, securities, and cryptocurrency cases. Areas of expertise include CFTC legal analysis, commodity futures, cryptocurrency regulations, AML compliance, securities trading practices, and broker-dealer standards of care. He has testified in both state and federal proceedings, including arbitration and litigation, and has experience assisting plaintiffs, defendants, and regulatory bodies. |
| Training / Seminars |
|---|
| Frequent CLE instructor and seminar presenter for professional organizations, bar associations, and compliance groups. |
| Other Relevant Experience |
|---|
| Extensive consulting experience on financial regulation and litigation impacts. |
Fields of Expertise
Commodities Futures Trading Commission, Commodities Futures Trading Commission reparation, commodity futures, derivative, derivative (finance), International White Collar Crime, white collar crime, Securities and Exchange Commission compliance, Securities and Exchange Commission regulation, securities dispute, cryptocurrency, cryptocurrency seizure, artificial intelligence, legal, legal malpractice, director risk, AML (anti-money laundering), Anti-Money Laundering, CME, fraud, broker standard of care, standard of care, financial malpractice, financial investigation, regulatory compliance, Government & Corporate Investigations, cyber investigations, Legal Compliance Investigations, Securities Fraud & Investigations