- October 22, 2017
- Posted by: giawatkins
- Category: CFI News
Former Senior Legal and Corporate Executive at TIAA, UBS, PaineWebber and Shearson Lehman Brothers Brings More Than 35 Years of Legal, Regulatory, Operational and Product-Related Experience within Financial Services Industry
PALATINE, IL – SEPTEMBER 12, 2017 – Capital Forensics, Inc. (CFI) announced today that Peter Kennedy has joined the firm’s team of consultants and expert witnesses, further strengthening CFI’s compliance, regulatory, litigation support and management consulting capabilities for financial services firms, FORTUNE 500 companies, and their outside advisors.
Mr. Kennedy brings to CFI more than 35 years of legal and executive management experience, most recently having served as Managing Director and Chief Operating Officer for TIAA Individual & Institutional Services, LLC. At that firm, he managed several regulatory oversight functions, including Centralized Principal Review and Branch Oversight and Administration. He possesses extensive knowledge and experience with broker / dealer rules and regulations, the Investment Advisers Act, ERISA and the Department of Labor’s Investment Advice Fiduciary Rule.
Previously, Mr. Kennedy had served as Senior Vice President and Chief Administrative Officer for the managed account business at UBS Financial Services, which included responsibilities that encompassed that firm’s trading desk, product development, operations and third-party mutual fund platform. At PaineWebber, he had also served as Senior Attorney / Manager for the firm’s Retail Product Group, handling broker / dealer, investment adviser, mutual fund and ERISA issues.
Capital Forensics’ Chairman and CEO, Vadim Khavinson, said, “Peter Kennedy’s professional experience – particularly as it relates to several timely and critical issues facing the financial services industry, such as the DOL’s Fiduciary Rule – will serve as an invaluable asset to our clients. Peter’s reputation throughout the financial services and legal communities is held in very high regard, and he is recognized for his understanding of critical industry issues.”
Earlier in his career, Mr. Kennedy also served as Executive Vice President at Shearson Lehman Brothers where, as Deputy General Counsel, his responsibilities covered retail brokerage, mutual funds, litigation and investment advisory programs. Prior to that, he was an attorney in private practice in New York City, specializing in ERISA, federal taxation, estate planning and employment law.
Mr. Kennedy holds an undergraduate degree from College of The Holy Cross, a JD degree from Loyola University and an LLM in Federal Taxation from Boston University. He holds Series 7 and 24 securities industry licenses.
About Capital Forensics. Inc.
Founded in 1993, Capital Forensics, Inc. (CFI) provides data analysis, expert testimony, litigation support and regulatory consulting for the financial services industry. CFI’s clients range from financial institutions – including broker-dealers, hedge funds and Registered Investment Advisors – to FORTUNE 500 companies.
CFI’s major practice areas include: • Expert Testimony & Litigation Support • Regulatory Consulting • Quantitative Analysis / Data Mining • Forensic Accounting • Arbitration Tools, including ArbReporter®, ArbSelector® and MockArb™. CFI has assisted business leaders and litigation teams in thousands of successful case resolutions and regulatory inquiries.