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Adam C. Pollet

Partner

Adam is a partner in Eversheds Sutherland’s Securities Enforcement and Litigation practice. 

He regularly defends financial institutions, broker-dealers, investment advisers, and individuals in regulatory investigations and enforcement matters involving the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and state securities regulators. Adam also represents his clients in complex financial services litigation, securities class-action litigation and FINRA arbitrations.

He has first- and second-chaired numerous FINRA arbitration and expungement proceedings on behalf of broker-dealers and their associated persons, involving an array of claims and products.

In addition, Adam advises his clients in internal investigations, regulatory examinations, and counsels them on various regulatory and compliance matters.

Adam co-founded the firm's Litigation Technology Working Group, whose mission is to identify and implement cutting-edge technology to provide cost-effective ways to achieve clients’ goals and offer unmatched client-facing tools. Under his leadership, the LTWG helped the firm win Legalweek's Tech-Enabled Litigation Department of the Year award.

Adam also maintains a robust pro bono practice focusing primarily on criminal justice issues and is deeply involved in community outreach programs, including the DC Bar Foundation.

In his spare time, Adam enjoys spending time with his family and watching college football. He is passionate about all things Web3, such as cryptocurrency and decentralized finance. 

  • Representing a crypto exchange in various customer arbitrations.
  • Achieved favorable settlement in “mass” FINRA arbitration proceeding against large broker-dealer with more than 25 customer claimants.
  • Negotiated the resentencing of a pro bono client who was sentenced as a juvenile to life in prison without parole, resulting in his nearly immediate parole.
  • Achieved the closeout of an SEC inquiry into a broker-dealer’s treatment of certain federal tax deductions.
  • Secured complete dismissal of two customer disputes of more than $500,000 in FINRA arbitration, including expungement of CRD records for individual defendants named, and opposing parties were ordered to pay all session fees for the hearing on the merits.
  • Advised a large broker-dealer on self-reporting a matter to FINRA and conducted an internal investigation into the issue, resulting only in a letter of caution from FINRA.
  • Convinced the staff of the SEC to abandon proposed charges relating to accounting fraud and professional misconduct against an accountant at a public company.

Adam regularly presents at various firm and public conferences on and writes about securities enforcement matters and trends, legal technology issues, and other hot topics. A representative list of some of his publications and presentations are:

  • Preparing for the SEC’s climate disclosure rule, September 22, 2022, Climate Week NYC
  • Annual Analysis of FINRA Disciplinary Actions Shows Surge in Enforcement Activity, April 22, 2021
  • Data Analytics in Compliance, Examinations and Enforcement, October 13, 2020
  • FINRA Enforcement Actions: 2019 and Beyond, July 15, 2020, SIFMA General Counsel Committee
  • FINRA, SEC and State Securities Enforcement Trends, June 25, 2020, RegEd
  • FINRA Enforcement Actions – 2019 and Beyond, June 15, 2020, Financial Services Institute 
  • Smarsh Compliance Webinar: Top FINRA Enforcement Issues and Trends of 2019, May 26, 2020
  • The CFP Board’s new standards of conduct – important considerations for broker-dealers and investment advisers, July 24, 2019
  • Insider Trading: The Basics and Current State of the Law, June 20, 2019
  • FINRA Enforcement: What You Need to Know About 2018 and Beyond, June 19, 2019
  • 2018 FINRA Disciplinary Actions and Trends for 2019, June 18, 2019, Global Relay Boston Forum
  • 2018 FINRA Disciplinary Actions and Trends for 2019, June 11, 2019, Global Relay New York Forum
  • Smarsh Compliance Webinar: Top FINRA Enforcement Issues and Trends of 2018, April 25, 2019
  • Trading Practices, Portfolio Compliance and Related Enforcement Cases, September 20, 2018, National Regulatory Services (NRS)
  • Webcast: SEC & FINRA Mid-Year Enforcement Update, July 25, 2018, MyComplianceOffice
  • Smarsh Webinar: Top FINRA Enforcement Issues and Trends of 2017, April 26, 2018, Smarsh
 
  • NaNamed to the “Ones to Watch” list by The Best Lawyers in America in the area of securities regulation law (2021-2024)
  • Selected for inclusion in Washington DC, Super Lawyers® “Rising Stars” (2019-2023)
  • District of Columbia
  • New York
  • B.A., summa cum laude, Louisiana State University
  • J.D., University of Virginia School of Law,

    Executive Editor, Virginia Law Review

Adam Pollet

Partner

Adam Pollet

Partner

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