Sean P. Casey
Partner 212 335 2964 firstname.lastname@example.org
Sean has extensive experience representing corporations, and investment firms – as well as their key executives and employees – in criminal, civil, and regulatory matters. Sean is one of few attorneys in private practice that has served as both an Assistant U.S. Attorney in the U.S. Department of Justice (DOJ) as well as Senior Counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC). Sean’s unique background enables him to provide strategic insights and solutions in disputes involving U.S. government law enforcement and internal investigations. He has advised clients across the investment management and financial services industries in responding to investigations by the DOJ, the SEC, and the U.S. Commodity Futures Trading Commission (CFTC) involving futures trading, market manipulation and spoofing, corruption and FCPA violations, securities and tax fraud, and insider trading. Sean also has represented several executives and groups of employees in DOJ investigations involving alleged violations of the False Claims Act (FCA) and related statutory provisions.
Sean has conducted several targeted internal investigations in response to government interest and whistleblower complaints. Some of his internal investigation experience includes:
Representation of an audit committee in conducting an internal investigation of the operations of a large publicly traded company, in responding to an investigation into allegations of tax offenses, corruption, and money laundering.
Representation of a board of directors in response to whistleblower claims lodged by a former employee alleging accounting fraud with the SEC and the U.S. Department of Labor.
Representation of independent directors of a European financial services company in investigating alleged financial improprieties of certain high-level executives.
Sean’s defense matters have involved him advocating for and achieving successful resolutions of numerous matters. Recent examples include:
Representation of the global head of the structured credit trading group for a bank under indictment by the U.S. Attorney’s Office for the Southern District of New York, and charged in a parallel proceeding by the SEC relating to allegations of a scheme to manipulate the value of a large asset-backed securities bond portfolio.
Representation of a group of pharmaceutical employees in a DOJ investigation regarding sales and manufacturing practices.
Representation of a New York-based hedge fund in responding to an investigation by the SEC concerning possible undisclosed conflicts of interest and a failure to supervise fund personnel.
Representation of a former vice chairman of a U.S. investment bank in an internal investigation, and related DOJ and SEC investigation, regarding possible FCPA violations by an investment bank in Asia.
Representation of an indicted executive of a Swiss bank regarding a U.S. investigation into alleged tax evasion.
Representation of a commodities broker in a CFTC investigation involving allegations of market manipulation.
Before entering private practice in 2009, Sean was an Assistant U.S. Attorney in the Eastern District of New York. He served as the Deputy Chief of the Business and Securities Fraud Unit in the EDNY. Sean supervised all securities, business, and tax fraud investigations and cases in the EDNY, and served as liaison to the SEC, CFTC, FINRA, and the FBI. He also served as Senior Counsel in the Division of Enforcement at the SEC.
Sean began his career as a law clerk for the Honorable Glenn T. Harrell Jr. on the Maryland Court of Appeals. He received an L.L.M. in Securities and Financial Regulation from The Georgetown University Law Center; a J.D., magna cum laude, from the University of Baltimore School of Law; and a B.A. from Loyola College of Maryland.
The Georgetown University Law Center, L.L.M. (2002)
University of Baltimore School of Law, J.D. (1999)
Loyola College of Maryland, B.A. (1994)
District of Columbia