Securities Finance Consultants: 5

MCS Associates is a nationally recognized consulting group that has provided financial, operations and regulatory/compliance consulting services nationwide to financial institutions, insurance companies and regulatory agencies as well as real estate and financial services organizations for over 40 years. Expert Witness and Litigation Consulting are a primary focus of our services. We undertake expert witness assignments throughout the United States and our clients include several hundred leading law firms around the country, working on behalf of both plaintiff and defendant financial institutions, borrowers, depositors, investors, developers, insurance companies and their insured, securities/insurance/real estate brokers/agents, regulators and government agencies, and individuals. 

Together with MCS Associates’ specialized resources in banking, financial services and real estate, we also draw on key strategic alliances in insurance, economics, academia and the securities industry to meet a wide range of expert witness needs. Our litigation experts include experienced bankers, lenders, consultants, regulators, managers, brokers & agents in insurance, real estate, and securities; insurance claims and underwriting managers; economists, accountants, appraisers, real estate analysts, and academics. 

Areas of Expertise Include:

• Banking Operations/Administration
• Check Fraud
• Lending Policies, Custom and Practice
• Loan Underwriting & Credit Administration
• Loan Securitizations & Servicing
• Bankruptcy, Foreclosures and Workouts
• Trust & Fiduciary Issues / Operations
• Securities Brokerage & Investments
• Valuations & Damages Analysis
• Forensic Accounting
• Employment / Compensation
• Real Estate Brokerage & Management
• Title Insurance & Escrow
• Real Estate Appraisal & Transactions
• Insurance Industry Custom & Practice
• Insurance Coverages / Claims Handling
• Insurance Bad Faith

Braden M. Perry is a nationally recognized White-Collar Defense Attorney and complex litigator with a reputation for navigating clients through their most challenging legal crises. A former senior trial attorney with the U.S. Commodity Futures Trading Commission (CFTC), Mr. Perry led major investigations and prosecutions involving market manipulation, financial fraud, and regulatory violations. His government experience gives him unique insight into enforcement strategy and prosecutorial decision-making, which he leverages to defend clients facing federal and state investigations, enforcement actions, and criminal charges.

Practice Areas:

• White-Collar Defense & Government Investigations
• Regulatory Compliance & Enforcement
• Anti-Money Laundering & BSA/AML
• Securities, Commodities & Financial Markets
• Internal Investigations & Corporate Compliance Programs

As Co-Founder and Partner at Kennyhertz Perry, Mr. Perry represents individuals and companies in internal investigations, regulatory inquiries, and high-stakes litigation. He handles matters involving securities fraud, commodities and derivatives enforcement, anti-money laundering, FCPA violations, antitrust, and emerging areas such as cryptocurrency and digital asset enforcement. He has first-chaired trials in federal and state courts, defending clients against complex criminal and civil allegations with strategic precision and a deep understanding of agency priorities.

Mr. Perry serves on the Criminal Justice Act panels for the Southern District of Georgia, the District of Kansas, and the Western District of Missouri, representing indigent defendants in federal criminal cases, and has been recognized by Super Lawyers and Best Lawyers in America for his excellence in white-collar defense. Prior to founding Kennyhertz Perry, he was Chief Compliance Officer and Senior Vice President at a global financial services firm, overseeing broker-dealer, RIA, and alternative investment compliance.

View Braden M. Perry's Expert Witness Profile.

Safe Harbour Equity, Inc. offers Commercial Real Estate Brokerage, Capital Advisory, and Site Acquisition services for the Cannabis Industry. Safe Harbour provides the legal, operational, and financial prerequisites for building sustainable startup businesses and successfully managing complex transactions, capital structures, startup protocols, and basis transfers.  

Cannabis Consulting Services:

• Cannabis capital structures, financial statements, valuation, sale - lease back transactions, cannabis recapitalization & reorganization plans, cannabis receiverships
• Cannabis real estate and company financing structures and tax deferred transactions, 1031 exchanges
• Cannabis off balance sheet financing, startup equity investing, mezzanine debt, preferred equity, accredited investing
• Responsibilities of fiduciaries and the contractual implications of fiduciary duty
• Sale of unregistered securities & private placements, investment waterfalls and securities, disclosures, compliance, issuer liability

Peter John Ingersoll is a distinguished CEO and Corporate Broker for Safe Harbour Equity, Inc., specializing in Cannabis Real Estate and Investment. With over 40 years of experience in investment real estate, construction, development, trust, and banking, Peter is a thought leader in cannabis capital structures, financial statements, valuation, sale lease-back transactions, recapitalization, and reorganization plans. His expertise extends to off-balance-sheet financing, startup equity investing, mezzanine debt, and preferred equity. He is a former Series 7, 22, and 63 licensee, as well as a Series 65 registered investment advisor (RIA), 

Graduate of Wharton School – University of Pennsylvania – Finance 

View Peter J. Ingersoll's Expert Witness Profile.

Scopus Financial Group is a FINRA Regulatory Policy and Legal Compliance company, helping broker-dealers fulfill their regulatory responsibilities while meeting their customers’ needs. With Scopus, broker-dealers navigate regulatory waters with confidence.

Scopus is an invaluable resource to the compliance-conscious broker-dealer. They deliver research that is customized to their client’s business,and stand ready to answer client questions and scope out information that is relevant to the broker-dealers they serve.

Business Consultant Services:

Regulation Best Interest / State Fiduciary Rules - Scopus not only helps clients with Reg BI and Form CRS.but also helps clients evaluate proposed state rules, develop alternative rule language, and prepare informed testimony to state legislatures and securities commissions on the possible effects of proposed rules on legitimate business.

Sales Practice Services - Scopus helps broker-dealers navigate the FINRA and SEC sales practice rules, guiding clients according to their particular products and services; conduct internal investigations for possible noncompliance, help clients review supervisory policies and procedures, apply sales practice rules to new products and services, develop compliance strategies, and resolve particular sales practice issues.

Analysis of Regulatory Technology Software - Scopus helps our clients assess regtech software by analyzing how it would apply to the client's business model, whether it would achieve the advertised purpose, and how well the vendor will perform necessary services.

Training - Scopus assists clients in the development of training programs, developing training content that is tailored to the audience, focused on the important points, and delivered most effectively.

Due Diligence - Scopus helps clients perform due diligence on proposed acquisitions or mergers, with particular emphasis on a firm's compliance history, risk management, and commitment to regulatory oversight.

View Thomas M. Selman's Expert Witness Profile.

Craig A. Wolson acts as a Structured Finance and Derivatives Expert Witness and Consultant. He specializes in cases involving credit default swaps (CDS), collateralized debt obligations (CDOs), mortgage-backed securities (MBS) and other derivatives and securities.

See CV for Achievements

Areas of Expertise:

• Securitizations
• Derivatives
• Securities Law and Corporate Finance
• Loans and Credit Facilities
• Due Diligence