About Sean R. Miller

Sean Miller supports financial industry clients and registered broker-dealers in achieving their business goals while complying with regulatory requirements, particularly US securities laws and SEC and FINRA rules. Prior to joining Katten, Sean served as general counsel of a venture-backed fintech start-up, where he helped develop and manage a trading platform for private securities offerings and secondary market transactions.

Practice Focus

  • Financial services
  • Broker-dealer regulation
  • Regulatory and compliance
  • SEC and FINRA Rules
  • Securities Act of 1933
  • Exchange Act of 1934
  • Crowdfunding