Adam C. Pollet

AP

Biography

Adam Pollet defends corporations, broker-dealers, investment advisers, and individuals in enforcement and litigation matters involving the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulatory agencies, and numerous federal and state courts. He also represents clients in internal investigations and regulatory examinations and counsels them on various regulatory and compliance matters.

Prior to joining Eversheds Sutherland (US), Adam was an associate in the government enforcement practice of another international law firm. Adam also has an active pro bono practice and is involved in community outreach programs, including founding a partnership with a local elementary school.

Experience

Convinced the staff of the SEC to abandon proposed charges relating to accounting fraud and professional misconduct against an accountant at a public company.
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.
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.
Achieved the closeout of an SEC inquiry into a broker-dealer’s treatment of certain federal tax deductions.
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.

Publications

Legal Alerts

Legal Alert: CFTC and SEC continue their efforts to regulate virtual currencies and Blockchain-based smart contracts (December 3, 2018)
For those longing for the heady days of the cryptocurrency free-for-all, this November is proving to be the start of the winter of your discontent.The US Commodity Futures Trading Commission ...

Legal Alert: SEC and CFTC continue efforts to regulate cryptocurrency (November 13, 2018)
Two important events occurred in the cryptocurrency space last week.1 The Chairman of the US Commodity Futures Trading Commission (CFTC) gave a speech regarding regulators’ role in effectively ...

Legal Alert: A week of “firsts” in cryptocurrency prosecution (September 17, 2018)
Last week, on September 11, 2018, a number of “firsts” occurred in the prosecution of cryptocurrency-related activities. The Securities and Exchange Commission (SEC) brought its first-ever ...

Legal Alert: SEC denies application for bitcoin-based ETF; Commissioner Peirce dissents (July 31, 2018)
On July 26, 2018, the US Securities and Exchange Commission (SEC) denied an application for the Winklevoss brothers-of Facebook fame (and fortune)-to launch the first bitcoin-based exchange-traded ...

FINRA’s Disciplinary Actions in 2017 (and beyond): Increased restitution ordered with minimal changes in number of cases; variable annuities cases significantly down (May 4, 2018)
In 2017, the Financial Industry Regulatory Authority (FINRA) ordered more than two times the restitution from the prior year, resulting in the fourth highest total of sanctions (fines combined with ...

Legal Alert: Court declares an obey-the-law injunction to be a penalty subject to 5-year statute of limitations (December 20, 2017)
On December 13, 2017, a New Jersey federal judge dismissed the US Securities and Exchange Commission’s (SEC) civil action against the owner of a broker-dealer for his alleged involvement in a $17 ...

Legal Alert: Seventh Circuit Upholds First-Ever “Spoofing” Conviction (August 14, 2017)
On August 8, 2017, a three-judge panel of the US Court of Appeals for the Seventh Circuit unanimously upheld the first-ever criminal conviction of a New Jersey futures trader for the manipulative ...

Legal Alert: US Supreme Court Intimates That the SEC’s Use of Disgorgement May Be Subject to Five-Year Statute of Limitations (April 20, 2017)
On April 18, 2017, the US Supreme Court heard oral arguments in Kokesh v. Securities and Exchange Commission regarding whether disgorgement ordered by the US Securities and Exchange Commission (SEC) ...

Articles

FINRA's Recent Enforcement Actions Pack A Hard Punch (March 13, 2019)
Law360
Eversheds Sutherland’s review of the disciplinary actions brought by the Financial Industry Regulatory Authority (FINRA) in 2018 shows that the amount of fines ordered by FINRA increased compared ...

Cybersecurity and Data Privacy review and update: Looking back on 2018 and planning ahead for 2019 (March 1, 2019)
From the implementation of the GDPR to the passage of the CCPA, the year 2018 proved to be a monumental one for cybersecurity and data privacy. Regulators from around the world responded to ...

FINRA’S 2018 Disciplinary Harvest Bears More Fines (November 2018)
NSCP Currents
With the changing seasons, it’s time to pull out your corduroy pants and flannel shirts and enjoy the crisp air, apple picking, and pumpkin spice lattes. To get into the spirit of autumn, the ...

Trends In FINRA's 2018 Disciplinary Actions (October 2, 2018)
Law360
With the changing seasons, it’s time to pull out your corduroy pants and flannel shirts and enjoy the crisp air, apple picking and pumpkin spice lattes. To get into the spirit of autumn, the ...

Forum shopping in mass tort litigation: The impact of Bristol-Myers a year later (Fall 2018)
Partnering Perspectives
In the year since the US Supreme Court decided Bristol-Myers Squibb Co. v. Superior Court, limiting forum shopping in mass tort litigation, courts have grappled with questions that the ruling did not ...

You're Hired! What Judge Kavanaugh’s Nomination May Mean For the SEC’s Enforcement Program (July 16, 2018)
Law360
On the night of Monday, July 9, President Donald Trump interrupted one of America’s most-watched reality television shows, The Bachelorette, to deliver his own metaphorical final rose to D.C. ...

FINRA’s Disciplinary Actions in 2017: Increased Restitution Ordered With Minimal Changes in Number of Cases (July 2018 )
Journal of Investment Compliance
In 2017, the Financial Industry Regulatory Authority (FINRA) ordered more than two times the amount of restitution from the prior year, resulting in the fourth highest total sanctions (fines combined ...

Bristol-Myers Squibb: One Year Later (June 18, 2018)
Law360
In the year since the US Supreme Court decided Bristol-Myers Squibb Co. v. Superior Court, limiting where plaintiffs can bring claims and curbing forum-shopping in mass tort litigation, courts have ...

And the award goes to ... FINRA’s 2017 Restitution Program (March 7, 2018)
Law360
Every year, the Academy of Motion Picture Arts and Sciences awards the Oscars for movies, dissecting them into different classes and categories, such as best picture, best film editing and best ...

Challenges to the SEC’s Enforcement Remedies (Fall 2017)
Partnering Perspectives
In June 2017, the US Supreme Court unanimously held in Kokesh v. Securities and Exchange Commission that disgorgement as a remedy in SEC civil injunctive actions is subject to the five-year statute ...

Newsletters

Partnering Perspectives: Insights from Inside and Outside the Corporate Law Department (Fall 2018)
We are pleased to present the Fall 2018 edition of Partnering Perspectives, which focuses on a number of legal developments as well as offers recommendations of preventive measures that you might ...

Partnering Perspectives: Insights from Inside and Outside the Corporate Law Department (Fall 2017)
With the US poised to decrease regulation and the outcome of Brexit unknown, multinational institutions face a great deal of unpredictability in the regulatory landscape. We are pleased to present ...

Presentations

Trading Practices, Portfolio Compliance and Related Enforcement Cases (September 20, 2018)
National Regulatory Services (NRS)
Eversheds Sutherland (US) attorneys Yvonne Williams-Wass and Adam Pollet presented on the NRS webinar Trading Practices, Portfolio Compliance and Related Enforcement Cases on September 20, 2018.

Webcast: SEC & FINRA Mid-Year Enforcement Update (July 25, 2018)
MyComplianceOffice
Interested in learning about the top SEC and FINRA enforcement issues and what’s on the horizon for the rest of the year? Eversheds Sutherland (US) attorneys Brian Rubin and Adam Pollet present a ...

Smarsh Webinar: Top FINRA Enforcement Issues and Trends of 2017 (April 26, 2018)
Smarsh
In 2017, FINRA ordered more than double the amount of restitution from the year prior, resulting in the fourth highest total sanctions assessed over the past ten years. While fines and cases ...

Reading the Tea Leaves: What Are Regulatory Actions Telling RIC CCOs (October 11, 2017)
Ascendant Compliance Management Conference
Eversheds Sutherland (US) Attorney Adam Pollet and Ascendant Compliance Management Consultant Peter Guarino present “Reading the Tea Leaves: What Are Regulatory Actions Telling RIC CCOs” at the ...

Webcast: FINRA Disciplinary Actions and Enforcement Trends (June 22, 2017)
Financial Services Institute
Join Eversheds Sutherland (US) attorneys Brian Rubin and Adam Pollet for a complimentary webcast to discuss how FINRA’s disciplinary actions in 2016 may impact broker-dealers in 2017. This webcast ...

Webcast: Spotlight on 2016 SEC and FINRA Cases and Trends for 2017 (May 10, 2017)
MyComplianceOffice
Eversheds Sutherland (US) attorneys Brian Rubin and Adam Pollet present Spotlight on 2016 SEC and FINRA Cases and Trends for 2017 a webcast, hosted by MyComplianceOfficer on May 10, 2017.

Webcast: 2016 FINRA Disciplinary Actions (April 18, 2017)
Smarsh, Inc.
Eversheds Sutherland (US) Attorneys Brian Rubin and Adam Pollet present 2016 FINRA Disciplinary Actions a webcast, hosted by Smarsh, Inc. With books and records and reporting continuing to be ...

Webcast: SEC and FINRA Enforcement Actions: Will 2017 “Trump” 2016? (December 8, 2016)
MyComplianceOffice
Sutherland attorneys Brian Rubin and Adam Pollet present SEC and FINRA Enforcement Actions: Will 2017 “Trump” 2016? a webcast hosted by My Compliance Office on December 8, 2016.

News

In the News

2018 FINRA Fines Increase, Cases Down (March 5, 2019)
Insurance News Net
Eversheds Sutherland attorneys Brian Rubin and Adam Pollet are quoted in this Insurance News Net article discussing Eversheds Sutherland’s annual study of disciplinary actions reported by the ...

FINRA's Top Fine Categories in 2018 (March 4, 2019)
Daily Business Review
Eversheds Sutherland Partner Brian Rubin is quoted in this Daily Business Review article discussing Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry ...

FINRA Disciplinary Actions Packed $107,000 Average Punch in 2018 (March 4, 2019)
Investment News
Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018 is mentioned in this Investment News article.

FINRA's Top Fine Categories in 2018 (March 4, 2019)
Daily Business Review
Eversheds Sutherland Partner Brian Rubin is quoted in this Daily Business Review article discussing Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry ...

Wake up Call: On the Move (January 4, 2019)
Eversheds Sutherland is featured in this Big Law Business article discussing recent counsel promotions. It has has promoted 13 new counsel across their US offices.

Top Five Most Heavily Fined Issues This Year (Annuities Among Them) (November 6, 2018)
Financial Advisor IQ
Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018 is mentioned in this Financial Advisor IQ article.

FINRA Fines LPL $2.75 Million for Reporting Failures (October 30, 2018)
InvestmentNews
Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018 is mentioned in this InvestmentNews article.

FINRA Fines Up, Restitution Down In Mid-Year Report (October 3, 2018)
Insurance News Net
Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018 is featured in this Insurance News Net article. According to the ...

Fewer Disciplinary Actions and Less Recompense for Wronged Investors, Report Shows (September 27, 2018)
Financial Advisor IQ
Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018 is featured in this Financial Advisor IQ article. According to the ...

FINRA's Top 5 Fine Categories in First Half of 2018 (September 25, 2018)
ThinkAdvisor
Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018 is featured in this article published by ThinkAdvisor. This year ...

Press Releases

Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Fines Increased in 2018 (March 1, 2019)
Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018. By reviewing FINRA’s monthly disciplinary ...

Eversheds Sutherland Elects 13 New US Counsel (January 3, 2019)
Eversheds Sutherland is pleased to announce the election of 13 new US counsel effective January 1, 2019. Eversheds Sutherland Co-CEO Mark D. Wasserman commented: “These 13 talented attorneys are all ...

Eversheds Sutherland Study Finds FINRA Fines Up and Restitution Down in First Half of 2018 (September 25, 2018)
Eversheds Sutherland (US) LLP has completed its annual midyear analysis of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) from January through June 2018. By ...

Eversheds Sutherland Secures Release for Pro Bono Client: Resentencing after 25 Years with Life without Parole (April 24, 2018)
Eversheds Sutherland (US) LLP is pleased to announce that the Pennsylvania Board of Probation and Parole granted release to its pro bono client who was originally sentenced as a juvenile to life ...

Annual Eversheds Sutherland Analysis of FINRA Cases Shows Restitution on the Rise in 2017 (February 28, 2018)
WASHINGTON-Eversheds Sutherland (US) LLP has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2017. By reviewing FINRA’s ...

Eversheds Sutherland Study Finds Mixed Results for FINRA’s Disciplinary Actions in First Half of 2017 (September 25, 2017)
WASHINGTON-Eversheds Sutherland has completed its annual midyear analysis of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) from January through June 2017. ...

Eversheds Sutherland (US) FINRA Focus: What Happened With Restitution in 2016? (March 7, 2017)
WASHINGTON-As reported on February 28, 2017 in Eversheds Sutherland (US) LLP’s annual analysis of Financial Industry Regulatory Authority (FINRA) disciplinary actions, FINRA ordered a record-setting ...

Annual Eversheds Sutherland Analysis of FINRA Cases Shows Record-Breaking 2016 (February 28, 2017)
WASHINGTON-Eversheds Sutherland (US) LLP has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2016. By reviewing FINRA’s ...

FINRA’s Projected 2016 Fines: “Ginormous” Fines May Propel 2016 to Record-Setting Year (October 4, 2016)
WASHINGTON-A dramatic increase in the fines reported so far in 2016 has the Financial Industry Regulatory Authority (FINRA) set to shatter its recent record-setting year of 2014. During the first ...

Multimedia

Videocast: FINRA’s 2016 Disciplinary Program: “YUUUGE” Fines May Propel 2016 to Record-Setting Year (October 17, 2016)
FINRA’s disciplinary program had a very strong first half of 2016. A dramatic increase in fines, propelled by several multimillion dollar fines, may lead FINRA to shatter its previous record. In ...

Areas of Practice (5)

  • Securities Enforcement & Litigation
  • Internal Investigations
  • Litigation
  • Broker-Dealer
  • Investment Adviser

Education & Credentials

Contact Information:
University Attended:
Louisiana State University, B.A., summa cum laude
Law School Attended:
University of Virginia School of Law, J.D., Executive Editor, Virginia Law Review
Year of First Admission:
2012
Admission:
2012, District of Columbia; New York
ISLN:
922266829

Peer Reviews

This lawyer does not have peer reviews.

*Peer Reviews provided before April 15, 2008 are not displayed.

Documents (7)

Documents by this lawyer on Martindale.com

Washington, District of Columbia

Contact Adam C. Pollet

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