Seth Kean

About Seth Kean

I am a senior enforcement counsel with FINRA, a regulator dedicated to protecting investors and safeguarding market integrity. With over twenty years of securities experience, I lead teams investigating and prosecuting violations of the federal securities laws, FINRA rules, and MSRB rules by registered representatives and brokerage firms. I am responsible for a broad and diverse docket of matters involving front running of customer block orders, potential market manipulation, private placement due diligence, excessive trading and suitability, conversion, misappropriation, unauthorized trading, document retention, supervision of transfers of customer funds, fixed income reporting and supervision, anti-money laundering compliance, CMO disclosures, and corporate bond parking. I also routinely counsel and advise examination teams regarding their reviews of brokerage firms and associated persons. Before joining FINRA, I was a litigation and investigations partner at the global law firm Reed Smith LLP, where I was a member of the Financial Industry Group. I represented various financial institutions in litigation and investigations in matters involving wealth management, retail banking, anti-money laundering compliance, and securities disclosures. I was also seconded to a leading consumer bank where I managed the bank’s internal investigations and regulatory responses, and assisted in the build-out of the legal department. Earlier in my career, I was an associate at Shearman & Sterling where I worked on a variety of high-stakes securities litigation and investigations and complex commercial litigation. I also had the good fortune to clerk for the Honorable Boyce F. Martin, Jr, Chief Judge of the United States Court of Appeals for the Sixth Circuit.

Experience

1. Senior Enforcement Counsel

   FINRA

   Jun 2017 — Present · New York, NY, US

   Lead teams investigating and prosecuting violations of the federal securities laws, FINRA rules, and MSRB rules by brokerage firms and registered representatives in matters involving anti-money laundering, market manipulation, due diligence, supervision of customer fund transfers, excessive trading, confirmation disclosures, fixed income reporting, Reg BI and suitability, and document retention.

Education

• Cornell University

  Bachelor’s Degree

  1992 — 1996

• Boston University School of Law

  Juris Doctor (J.D.)