Sean Monticello is the trusted counsel to a broad spectrum of financial, investment, healthcare and other businesses, advising and guiding his clients through all stages of the business lifecycle – from corporate formation and restructuring to transactions, governance issues and regulatory compliance.
A member of the firm’s Corporate team, much of Sean’s practice is concentrated on corporate transactions, securities regulation and financial regulatory compliance, and corporate governance. He has extensive experience in the formation and termination of business entities and the negotiation and drafting of corporate and commercial contracts and corporate restructurings. Sean advises his clients on registration and reporting under the federal securities laws, compliance with rules and regulations of the Securities and Exchange Commission and the NASDAQ Stock Market, and acquisitions and divestitures. For example, he is a key member of the team serving firm client American National Insurance Company, and on multiple occasions has advised them on the formation, registration and reorganization of a variety of their subsidiaries.
Sean has particular expertise on corporate compliance and ethics and counsels corporate directors and officers on their rights and responsibilities.
In addition to the large publicly-traded companies he represents, Sean’s clients include nonprofit entities, small businesses, entrepreneurs, health care providers and special purpose entities. In addition, he has represented investment advisers, broker-dealers and mutual funds in various regulatory compliance matters, including registrations and licensing, terminations, asset sales, reporting obligations and regulatory examinations.
His diverse client base has brought him deep understanding of the inner workings in a wide variety of different business sectors.
Education
- The University of Texas School of Law – J.D., with honors, 1999
- McNeese State University– B.A. and B.S., summa cum laude, 1996
Admissions
- Texas
Recognition and/or Publications
- “Subafilms Revisited: The Case for Imposing Liability on Domestic Authorizers of Extraterritorial Copyright Infringement,” – The Journal of Intellectual Property, Spring 1999
Professional Activities and Memberships
- State Bar of Texas
- Galveston County Bar Association
Representative Cases
- Represented clients in nursing home sales.
- As Counsel to American National Insurance Company (ANICO) Sean has:
- Represented ANICO in its 2020 holding company reorganization by which ANICO became a wholly owned subsidiary of American National Group, Inc. (ANAT) and by which ANAT replaced ANICO as the publicly traded company.
- Advised ANICO in the sale of its former subsidiary, Securities Management and Research, Inc., a registered broker-dealer and registered investment advisor.
- Advised ANICO in the formation and registration of an investment advisor subsidiary, American National Registered Investment Advisor, Inc.
- Advised client ANICO in its registration under the Securities Exchange Act of 1934. Such registration was effective July 21, 2009. In addition to providing assistance in drafting the registration statement, Sean assisted the company in planning for its new SEC reporting obligations, preparing and revising corporate policies and committee charters, as well as preparing initial beneficial ownership statements.
