Sean Thomas Prosser

Sean Prosser is a highly experienced litigator with significant experience defending clients facing shareholder litigation, SEC, FINRA, and DOJ investigations and enforcement actions, and other civil and criminal government and regulator investigations and enforcement proceedings. His clients have included public and private companies, officers and directors, board committees, broker-dealers, banks, investment advisors, hedge funds, certified public accountants, individual stock traders, and public officials.

A former SEC enforcement attorney, Sean has defended many clients in securities investigations and white-collar actions initiated by regulatory authorities across the country and with a focus on California.

With a particular practice depth defending clients in securities investigations and white collar actions initiated by regulatory authorities in Los Angeles, San Diego and throughout California, Sean regularly represents clients before the following agencies and regulators:

• U.S. Securities and Exchange Commission (SEC) 
• U.S. Department of Justice (DOJ)
• Financial Industry Regulatory Authority (FINRA) 
• NYSE, NASDAQ and other stock exchanges 
• California Department of Corporations 
• U.S. Department of the Treasury, including Financial Crimes Enforcement Network (FinCEN) and Office of Foreign Assets Control (OFAC)   
• Public Company Accounting Oversight Board (PCAOB) 
• Internal Revenue Service (IRS) 

Sean also has a significant securities litigation practice. He defends public companies and their executives facing shareholder lawsuits in state and federal courts across the country, including the Delaware Court of Chancery.

During the course of his career, Sean has represented such companies as:   American Pacific Corporation; AML Communications; Ascend Communications; Cogent, Inc.; ; Digital Lightwave; dj Orthopedics; Dura Pharmaceuticals; EEX Corp.; Gemstar-TV Guide International; Goya Foods; Kintera; Kratos Defense & Security Solutions; Ligand Pharmaceuticals; Mentor Corp.; Netlist; NETSOL Technologies; Mallinckrodt Pharmaceuticals; PepperBall Technologies; Schlotzsky’s; SoftBank Corp.; Steakhouse Partners; Unison Healthcare; Wireless Facilities; and others.

Sean is recognized by Best Lawyers in America, Super Lawyers and The Legal 500. He also sits on the Board of Editors of The Corporate Counselor. Sean has written and spoken extensively about SEC enforcement and securities matters, with a focus on insider trading, anti-money laundering, derivative claims and mergers, and fiduciary duty issues.