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Mintz Bolsters Financial Services Capabilities With David Adams In Washington, D.C.

WASHINGTON, D.C. – Mintz is pleased to announce that David Adams has joined the firm’s Corporate Practice as a Member in the Washington, D.C. office. With more than 20 years of experience in financial services regulation and enforcement, he partners with innovators around the world to help them capitalize on emerging U.S. legal and regulatory trends at the intersection of financial technology and U.S. financial regulation.

“David’s addition deepens our offerings for our clients in the financial services and emerging growth industry sectors,” said Mintz Managing Member Bob Bodian. “His significant expertise in handling regulatory and enforcement issues related to broker-dealers, exchanges, investment advisers, and investment companies, encompassing both traditional and digital assets, will support multiple practices across the firm.”

Mr. Adams has significant experience providing legal and strategic advice on the establishment and maintenance of U.S. and cross-border brokerage, investment advisory, and crypto asset operations. This work includes devising optimal U.S. and cross-border operational structures, implementing required procedures, and creating and negotiating placement, finders, 15a-6, and other distribution agreements; investment advisory, soft dollar, and related arrangements; and crypto asset platform agreements, trading agreements, and custody agreements. He also represents broker-dealers and investment advisers in acquisitions, restructurings, and expansions, frequently providing guidance on investment adviser changes in control and broker-dealer Materiality Consultations, Continuing Membership Applications, and New Member Applications.

As a go-to advisor on regulatory matters impacting the industry, Mr. Adams counsels broker-dealers, investment advisers, and other financial institutions on questions involving SEC and Financial Industry Regulatory Authority (FINRA) regulations and related state laws. This includes helping clients comply with rules involving individual registration and licensing, marketing and advertising, and supervision. He also has extensive knowledge of regulatory issues affecting trading — such as best execution, short sales, and trade reporting — and sales practices, including suitability, conflicts of interest, and Regulation BI. Clients also seek Mr. Adams’s counsel on internal audits and investigations, mock examinations, and SEC and FINRA inquiries, investigations, and enforcement actions.

Mr. Adams is a distinguished expert on applying U.S. broker-dealer and exchange/ATS frameworks to crypto asset companies and is often sought after to speak on this subject. He has also advised broker-dealers and advisers on the development of SEC-compliant ESG programs, policies, and procedures.

Prior to joining Mintz, Mr. Adams worked at Goodwin and Clifford Chance, where he advised clients on financial regulatory and enforcement issues involving traditional and crypto assets, as well as ESG considerations. Earlier, he worked at the SEC’s Division of Investment Management and in the Market Regulation & Transparency Services Department at FINRA.

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