Sean joined Ropes & Gray’s litigation and enforcement practice group in January 2021. His practice focuses on government enforcement and internal investigations, and he regularly represents corporate clients in the investment and asset management industries, working with investment advisers, mutual funds, officers and directors, hedge funds, and private equity firms on investigations and examinations conducted by the SEC, FINRA, and others. Sean advises clients on compliance with anti-bribery, anti-corruption, and anti-money laundering laws, Investment Advisers Act and Securities Act issues, complex financial accounting and disclosure issues, and other aspects of federal regulatory laws.
Sean also assists clients with compliance audits and risk assessments, as well as helping clients conduct transactional due diligence and devise post-investment compliance integration plans. Sean also advises clients in the life sciences, consumer goods and financial services industries, and has experience with various stages of civil litigation and arbitration.
Experience
Government Enforcement and Investigations
- Regularly represents investment management, venture capital, and private equity clients in SEC investigations and compliance matters, including matters relating to fiduciary duty issues arising out of management fees, expense payments, as well as a variety of disclosure issues related to conflicts of interests.
- Represents public company, hedge fund, private equity, and venture capital clients in corporate governance and transactional dispute matters.
- Represented major energy company in a complex financial accounting matter and related SEC financial reporting investigation.
- Represented an international pharmaceutical and medical device manufacturer in numerous investigations into alleged violations of the Foreign Corrupt Practices Act and the UK Bribery Act in Europe, Asia, and the Middle East.
- Conducted an investigation on behalf of an international pharmaceutical and medical device manufacturer into alleged antitrust violations in Asia and Europe.
- Assisted with a medical device manufacturer’s internal investigation of its Asian subsidiary, arising from whistleblower allegations of corruption and bribery.
- Conducted pre-acquisition anti-corruption, anti-money laundering, economic sanctions, and export controls compliance due diligence for private equity firms operating in high-risk jurisdictions.
- Represented a medical device manufacturer in relation to multiple Second Requests from the Federal Trade Commission.
- Advised a private equity firm in SEC and DOJ inquiry related to alleged insider trading.
- Advised several large venture capital funds and hedge funds in connection with comprehensive SEC exams focused on issues under the Investment Advisers Act of 1940.
Litigation
- Successfully defended a national retailer from a consumer class action alleging violations of various state consumer protection acts in the Southern District of New York.
- Provided pre-litigation advice to a multinational pharmaceutical company regarding contractual obligations.
Pro Bono
- Conducts anti-corruption, anti-money laundering, economic sanctions, and export controls compliance due diligence related to charitable grants for non-profit organizations in Ukraine for BlueCheck Ukraine.