As an attorney and certified public accountant, Sean provides a value-added perspective to his clients concerning their corporate, securities and financing transactions. He represents public and private entities, including issuers, investors and underwriters, in a variety of debt and equity securities offerings such as IPOs, secondary offerings, PIPEs and private placements. Sean also represents domestic and foreign companies in merger and acquisition transactions, with a focus on taking companies public through reverse merger transactions. In the securities realm, he counsels clients on compliance and reporting obligations as well as the preparation and filing of registration statements. Additionally, Sean advises clients on general business matters and corporate governance issues, including organization and structure, poison pills, licensing, employment, consulting and joint venture agreements.
Before Fox Rothschild
Sean served as a legal intern to the Bureau of Securities of the New Jersey Office of the Attorney General, where he reviewed prospectuses to ensure compliance with New Jersey securities laws. Prior to his practice of law, he was a senior accountant in the Assurance and Advisory Services Group of Deloitte & Touche in New York, where he performed audits of public and private entities.
Beyond Fox Rothschild
Sean is a Certified Public Accountant in the state of New York.
Securities Compliance Sentinel
The highly regulated securities and financial industry has a host of complex problems—and financial institutions often find themselves on the receiving end of audits, investigations and other compliance issues. Our seasoned securities attorneys have the knowledge and experience to address cutting edge industry issues. Join them in their exploration of this increasingly complex area.
Desk References (pdf files)
• Private Equity and Hedge Funds: Regulatory Analysis and Structural Overview