Practice Areas

With clients all across the country, Kennyhertz Perry offers depth of experience, the resources to bring a case to successful resolution and a commitment to client service. Our practice areas range from Financial Services Law to Transactional Law to Litigation.

Commodities, Futures, and Derivatives

Kennyhertz Perry advises clients on a wide range of commodities and derivatives regulatory matters. Kennyhertz Perry has experience in all types of derivative transactions and design structures to meet clients’ specific trading, financial and/or credit needs. The roots of the practice are in the commodities markets, where Kennyhertz Perry partner Braden Perry spent time as a Senior Trial Attorney with the Commodity Futures Trading Commission. Our lawyers regularly advise our clients on compliance with the complex laws and regulations governing the securities and derivatives industries, including the Commodity Futures Modernization Act of 2000, the Commodity Exchange Act, the Gramm-Leach-Bliley Act, the Securities Acts of 1933 and 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the SEC and CFTC regulations, the rules of the various derivatives exchanges and clearinghouses and other industry self-regulatory organizations and the “Blue Sky” state securities laws. Keeping abreast of regulatory developments is imperative, and enables our lawyers to guide clients on comment-making about proposed legislation and regulation, provide ongoing operational and compliance counseling, and offer advice on appropriate modifications of transaction structure and documentation.

Clients also benefit from Kennyhertz Perry’s experience in related areas of law, such as litigation, banking, securities, insurance, and its regular practice before the Commodity Futures Trading Commission. Leaders in the financial industry choose Kennyhertz Perry because the firm’s lawyers tailor their advice to the unique issues presented by each matter they handle.

Financial Services

Kennyhertz Perry integrates broad regulatory expertise, including compliance and enforcement, with the transactional practices to which that expertise is critical. We are called upon by businesses who need help navigating current and future regulatory challenges stemming from the global financial crisis. To assist our clients in understanding the issues that will affect their industries, entities and transactions, we understand the impact of regulations and requirements of both The Dodd-Frank Wall Street Reform and Consumer Protection Act and a wide variety of U.S. and foreign regulatory reforms targeting investment business and market structures, alternative investment fund managers, private equity and others, central clearing and exchange-trading of derivatives, market abuse and insider dealing, capital regimes, and commodity derivatives.

Kennyhertz Perry regularly counsels lenders, investment advisers, broker-dealers, and fund managers on the laws, rules, and regulatory developments affecting their business, including regulatory requirements, risk management, licensing and registration, sales and marketing practices and materials, manuals and training, day-to-day compliance.

Foreign Corrupt Practices Act

Companies can now avoid FCPA prosecution by instituting an effective, functioning compliance program. Routine FCPA Due Diligence is a critical component in maintaining a FCPA compliance program. Experienced, and attuned to details, Kennyhertz Perry’s investigations are unparalleled in quality, exceeding FCPA’s standards. Partnering with Kennyhertz Perry will provide you with the transparency your company needs to stay ethical.

Government Investigations, Enforcement, and White Collar Criminal Defense

Kennyhertz Perry represents individual and corporate clients faced with the increased use of criminal investigations and enforcement to address business practices, particularly as they relate to financial issues. Mr. Perry brings his enforcement experience as well as his substantial prior experience in white collar criminal defense practice, and as a firm, we represent corporate clients and individual officers and directors at every stage of government investigations and enforcement actions – including white collar criminal matters – initiated by state and federal agencies, including the state Attorney Generals, Department of Justice, SEC, CFTC, and FINRA.

Kennyhertz Perry’s enforcement practice regularly defends clients against allegations involving a wide array of business contexts in federal and state grand jury investigations, trials, and appeals. In particular, we have represented clients in enforcement matters and related litigation involving a range of subject areas including Foreign Corrupt Practices Act (FCPA), consumer financial services, money laundering and Bank Secrecy Act, securities, commodities, options, and derivatives fraud, state and federal RICO laws, False Claims Act, and insurance fraud.

We have handled all sides of an investigation, and are uniquely qualified to help you respond. If your business becomes the subject of a government probe, we provide unparalleled legal and strategic advice. We strive to resolve the investigation as promptly as possible with as little impact on your business as necessary.

When businesses and individuals face aggressive government enforcement, matters formerly handled through civil or regulatory processes now result in criminal investigations. Our firm will, in turn, aggressively represent corporations or individuals facing criminal or other enforcement proceedings. We understand avoiding prosecution is the goal, and our government experience helps our clients navigate the difficult process of investigation. Our extensive experience with compliance programs helps us advise our clients on best practices to proactively prevent criminal problems. But if clients face criminal charges, we have the trial experience to mount a zealous defense.

Investment Due Diligence

There are few hard and fast rules for investment due diligence, which is why proper due diligence requires creativity coupled with common sense . Avoiding unnecessary surprises is a top priority when it comes to managing investment strategies and we believe critical judgments and decisions in the investment process are essential. Kennyhertz Perry has a deep understanding of the strategies needed and the know how to assess the contingent risks associated with investing. Whether it’s stocks, bonds, real estate assets or any other type of financial commitment we the more research and preparation completed prior to an investment, the better.

Litigation

Kennyhertz Perry handles significant disputes for a broad spectrum of financial institutions, major commercial, industrial and service corporations and high net worth individuals involving state and federal cases, as well as parallel proceedings before criminal, administrative, and regulatory agencies.

Our attorneys have substantial experience in all aspects of dispute resolution, including negotiation, mediation and arbitration. When litigation is necessary, our attorneys draw on their skills in discovery, motion practice, and trial and appellate advocacy, as well as expertise in diverse substantive areas. We are experienced in the supervision and management of large, complex cases and frequently work with technical consultants and experts to efficiently and effectively further the interests of our clients.

Kennyhertz Perry’s strength in litigation also makes us better at helping our clients prospectively avoid litigation. We draw on our litigation experience to provide comprehensive risk management, compliance, and help navigate clients through regulatory examinations. In addition, we utilize the knowledge and experience developed in litigation and enforcement matters to assist in due diligence for clients considering strategic partnerships or acquisitions and to advise clients regarding the acquisition approval process.

Mergers & Acquisitions

Sophisticated companies in today’s complex marketplace realize many law firms can close a mergers & acquisitions transaction, but only those firms with perspective across multiple practice areas drive the necessary calls behind deals that shape the future of business.

Clients rely on us for their mergers & acquisitions needs because we understand the deal involves much more than just the business transaction itself. While we have vast experience in creating, negotiating, and consummating M&A transactions of all kinds, practical entrepreneurial experience sets Kennyhertz Perry apart. We approach each M&A transaction by thoroughly examining how it affects your business in different areas, including environmental, employee benefits, tax, intellectual property, antitrust, and regulatory concerns.

Modern businesses seek legal counsel who are collaborative partners and understand their businesses behind the scenes. Our work with private companies in their purchases, sales and investments in companies and assets spans multiple industries, including highly-regulated businesses. Our transactional practice is diverse, representing both public companies and a wide range of private organizations. In these transactions we handle the full range of regulatory filings and approvals, and advise directors and officers about their fiduciary duties.

Clients look to us for help in every aspect of a transaction including financing, regulatory approval, due diligence, valuation and operational issues. At Kennyhertz Perry, we understand how business works, and we work for our clients to ensure they are protected in any side of a transaction.

Regulatory & Compliance

In a complex business environment with increased regulatory scrutiny around governance issues and stringent demands, Kennyhertz Perry brings a sophisticated understanding of the impact of these regulations on business and work with clients to identify and mitigate the risks of potential enforcement actions, navigate the complexity of the regulated world, and head off compliance issues before they arise.

Our attorneys have extensive experience advising clients in federal, state, and local regulatory inquiries and investigations, particularly in matters involving complex or novel issues. We couple technical knowledge and experience defending clients in front of federal agencies with a broad-based understanding of compliance from an institutional and regulatory perspective.

Transactional Law

Kennyhertz Perry provides a full range of general corporate legal counsel. Helping companies of all size with formation; contracts and negotiations; mergers, acquisitions, and joint ventures. Since its inception, Kennyhertz Perry has placed high value on entrepreneurship and a businesslike approach to the practice of law. Drawing on our own experience as business owners, our extensive knowledge of the law, and our broad network of business and financial contacts throughout the Midwest and nationally, we are able to provide our clients with a unique spectrum of counsel.

We help clients address ongoing business demands, including day-to-day operations, growth strategies and competitive positioning. As businesses mature, we provide guidance on appropriate exit strategies and transition planning. Our attorneys frequently act as general counsel and advisors to companies, handling both routine matters and significant transactions.

Transactional Law Emerging Businesses and Sartup Law

Kennyhertz Perry’s depth of experience working with multiple emerging companies, as well as its attorneys’ own success as entrepreneurs, gives our firm valuable perspective that allows us to counsel startup companies on a range of issues that are relevant to their immediate and future business needs.

Our firm focuses its experience on proactively helping clients achieve their business goals while being mindful of the pitfalls that can inhibit your ability to execute on long-term growth strategies. Our attorneys have full understanding of the complex legal and business issues that clients face as they pursue these business goals.

As former in-house lawyers, as well as former government regulatory attorneys, our firm has first-hand experience not only with growing successful businesses but also with the challenges clients face as they navigate day-to-day legal issues facing their business.

We partner with clients as they effectively navigate the business life cycle – from initial concept through thriving periods of growth to the sale of a business. Commonly serving in a general counsel role to a client’s business, we are able to advise clients on any number of legal issues, including:

Formation and Entity Selection
Corporate Structure
Mergers and Acquisitions
Financial Services
Transactional Law
Government Enforcement
Compliance
Litigation

Outside General Counsel

Our team understands that businesses of all sizes, from startups to large corporations, seek to operate as efficiently as possible. We also have the perspective of knowing that businesses have ongoing need for legal counsel across a range of issues.

To meet this need, we provide our clients with experienced outside general counsel that partners with management to meet a company’s specific legal needs in a cost-effective manner. We act as outside general counsel so that clients have full-time legal support without the overhead and cost of hiring an in-house attorney.

As former in-house attorneys, our lawyers have experience working from within a company to manage the full spectrum of legal issues that commonly arise during the life of a business. We combine this background with a high standard of client service to position our firm as a strong provider of outside general counsel services.

We partner with our clients and team with their leadership to proactively pinpoint legal issues relevant to their business, identify goals and execute a plan that ensures their business continues to thrive. In addition, we continuously offer advice on reducing risk and minimizing legal costs.

Regardless of the issue, as outside general counsel, we are committed to promptly responding to clients in the same manner you would expect from an in-house member of your own team.

We also commonly service our clients on-site as often as a client desires. Our team is dedicated to the long-term success of our clients’ business, and we seek to serve as valuable members of their team.