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This profile was last updated on 2/8/15  and contains information from public web pages and contributions from the ZoomInfo community.

Senior Regional Counsel

Local Address: Boca Raton, Florida, United States
FINRA
300 S. Grand Avenue Suite 900
Los Angeles , California 90071
United States

Company Description: FINRA, the Financial Industry Regulatory Authority, is the largest non-governmental regulator for all securities firms doing business in the United States. Created...   more
Background

Employment History

Education

  • J.D.
    Stetson College of Law
  • B.S.
    Georgetown University
10 Total References
Web References
Sean W. Firley ...
www.atkinson-diner.com, 6 Jan 2009 [cached]
Sean W. Firley
Atkinson, Diner, Stone, Mankuta & Ploucha, P.A.
www.atkinson-diner.com, 10 Jan 2010 [cached]
Sean W. Firley Atkinson, Diner, Stone, Mankuta & Ploucha, P.A.
...
Sean W. Firley
...
Sean W. Firley
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Sean is a commercial litigator with several years of experience advising clients on regulatory enforcement matters before the NASD, the United States Securities and Exchange Commission and the Florida Office of Financial Regulation.
Prior to joining the firm, Sean was Regional Counsel to the Enforcement Department of NASD's Florida District Office, where he prosecuted NASD members for violations of NASD Rules and the Federal securities laws. While at NASD, Sean successfully prosecuted cases involving, among other things, violations of anti-money laundering rules, unauthorized trading, reporting violations, SEC Rule 10b-5 (and other fraudulent representations and omissions), variable annuities, selling away, settling away, conversion and related supervisory failures. Prior to NASD, Sean was a litigator at Morgan Lewis & Bockius where he concentrated his practice in the defense of individuals and entities involved in NASD customer arbitrations and securities regulatory investigations.
In addition to his experience in securities regulation and litigation, Sean has extensive experience in complex commercial litigation, including cases involving breach of contract, fraud, fair credit reporting, professional malpractice and real estate litigation.
Sean received his B.S. from Georgetown University in 1993 and his J.D. from Stetson College of Law in 1997, cum laude. After graduation from law school, Sean served as law clerk to the Honorable James C. Dauksch, Jr. at the Fifth District Court of Appeal.
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Sean is a member of the Florida Bar and is admitted to practice before the United States Court of Appeals for the Eleventh Circuit and the United States District Court for the Southern, Middle and Northern Districts of Florida.
Sean can be reached by email at swf@atkinson-diner.com.
Morgan Lewis : People - Legal, Law Firm, Lawyer, Attorney
www.morganlewis.com, 7 Dec 2004 [cached]
Photo of Sean W. Firley
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Sean W. Firley Associate Litigation
Sean W. Firley
www.atkinson-diner.com, 25 Jan 2006 [cached]
Sean W. Firley
Sean is a commercial litigator with several years of experience advising clients on regulatory enforcement matters before the NASD, the United States Securities and Exchange Commission and the Florida Office of Financial Regulation.
Prior to joining the firm, Sean was Regional Counsel to the Enforcement Department of NASD's Florida District Office, where he prosecuted NASD members for violations of NASD Rules and the Federal securities laws.While at NASD, Sean successfully prosecuted cases involving, among other things, violations of anti-money laundering rules, unauthorized trading, reporting violations, SEC Rule 10b-5 (and other fraudulent representations and omissions), variable annuities, selling away, settling away, conversion and related supervisory failures.Prior to NASD, Sean was a litigator at Morgan Lewis & Bockius where he concentrated his practice in the defense of individuals and entities involved in NASD customer arbitrations and securities regulatory investigations.
In addition to his experience in securities regulation and litigation, Sean has extensive experience in complex commercial litigation, including cases involving breach of contract, fraud, fair credit reporting, professional malpractice and real estate litigation.
Sean received his B.S. from Georgetown University in 1993 and his J.D. from Stetson College of Law in 1997, cum laude.After graduation from law school, Sean served as law clerk to the Honorable James C. Dauksch, Jr. at the Fifth District Court of Appeal.
...
Sean is a member of the Florida Bar and is admitted to practice before the United States Court of Appeals for the Eleventh Circuit and the United States District Court for the Southern, Middle and Northern Districts of Florida.
Atkinson, Diner, Stone, Mankuta & Ploucha, P.A.
www.atkinson-diner.com, 10 Jan 2010 [cached]
Sean W. Firley
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