Sean Prosser, a former SEC enforcement attorney, is a Securities Litigation and White Collar criminal defense lawyer, principally representing clients facing shareholder lawsuits and criminal and civil government investigations. He has extensive experience in U.S. Securities and Exchange Commission (SEC) and U.S. Department of Justice (DOJ) investigations and proceedings, shareholder class actions, derivative and corporate control lawsuits, as well as conducting and defending internal investigations.
Sean's experience includes representing public and private companies, chief executives, directors and officers, broker-dealers, hedge funds, committees, accounting firms and public officials. He has a significant securities litigation practice with particular depth in California and Delaware-based actions. Sean also manages internal investigations, inquiries and enforcement proceedings initiated by regulatory authorities, including:
- U.S. Securities and Exchange Commission (SEC)
- Financial Industry Regulatory Authority (FINRA)
- NYSE, Nasdaq and other exchanges
- California Department of Corporations
- U.S. Department of Justice (DOJ)
- Internal Revenue Service (IRS)
- U.S. Department of the Treasury, including OFAC
- Public Company Accounting Oversight Board (PCAOB)
Sean has represented the following companies over the course of his career: American Pacific Corp.; AML Communications; Ascend Communications; Cogent; Comps.com; Crocs; Digital Lightwave; dj Orthopedics; Dura Pharmaceuticals; EEX Corp.; Gemstar-TV Guide International; Gevo; Goya Foods; InfoSonics; Investment Placement Group; Intrepid Potash; Kintera; Kratos Defense & Securities Solutions; Ligand Pharmaceuticals; Mentor Corp.; Netlist; NetSol Technologies; Newmont Mining; Mallinckrodt plc; OncoSec Medical; Pepperball Technologies; Russell Investments; Schlotzky’s; SoftBank Corp.; Steakhouse Partners; Uber; Unison Healthcare; Wireless Facilities; and others. Sean’s vast industry experience includes advising and working with clients in financial services, technology, software, medical devices, pharmaceuticals, biotechnology and consumer products.
Sean Prosser is recognized by Legal 500 (US) for his expertise in Merger Litigation, and by Best Lawyers in America (2010-2018) for his expertise in Securities Litigation, Mergers & Acquisitions Litigation, SEC Enforcement Litigation, and Corporate Compliance & Corporate Governance Law. He also was named Best Lawyers' 2018 "Lawyer of the Year" for Securities Litigation and Best Lawyers' 2016 "Lawyer of the Year" for Corporate Governance. Mr. Prosser also is listed in San Diego SuperLawyers 2010-2018.
Sean is a member of the Board of Editors for the Corporate Counselor and a member of the Association for Securities and Exchange Commission Alumni (ASECA). He is also a member of the California Bar Association and the San Diego Bar Association. He is admitted to practice in California, before the U.S. District Courts for the Central and Southern Districts of California, and before the U.S. Court of Appeals for the Ninth Circuit.