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Sean advises financial institutions, fintech startups, and crypto companies on broker-dealer registration, securities laws, exempt private offerings, and secondary resale transactions.
Sean’s previous experiences as an attorney in the financial services department of an Am Law 10 law firm, as a startup founder, and as general counsel for multiple venture-backed companies enable him to provide clients practical advice and a 360º perspective on both strategy and operations. He leverages his in-depth knowledge of U.S. securities laws and broker-dealer regulations, including SEC and FINRA rules and registration requirements, to counsel clients on a wide range of issues, including the registration and operation of securities platforms and alternative trading systems.
Sean gained hands-on entrepreneurial experience through his work as founder of Hexproof, where he developed a novel structure for investing directly in pre-seed founders rather than in companies.
He also served as general counsel at several venture-backed fintech companies, including Chalk, Inc., where he advised on securities laws and broker-dealer regulations and designed and implemented a peer-to-peer offering platform for security-backed NFTs; and Dynasty Marketplace, where he developed a proprietary trading platform for the issuance, resale, and management of real estate-backed securities, and supervised all offering disclosures, subscription documents, purchase agreements, SEC filings, and FINRA broker-dealer applications.