
David partners with innovators around the world to help them capitalize on emerging US legal and regulatory trends at the intersection of financial technology and US financial regulation. He is a seasoned regulatory and enforcement attorney with 20 years of experience in the financial services industry.
David has significant experience providing legal and strategic advice on the establishment and maintenance of US and cross-border brokerage, investment advisory, and crypto asset operations. This work includes devising optimal US 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. David 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, David 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 David’s counsel on internal audits and investigations, mock examinations, and SEC and FINRA inquiries, investigations, and enforcement actions.
David is a recognized authority on the application of US broker-dealer and exchange/ATS frameworks to crypto asset companies. He speaks frequently on the topic and has been quoted in numerous publications, including the Wall Street Journal. He has also advised broker-dealers and advisers on the development of SEC-compliant ESG programs, policies, and procedures.
Prior to joining Mintz, David worked at two global law firms, 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.
viewpoints
Expansive SEC Predictive Data Proposal Surprises Broker-Dealers, Advisers & Technology Providers
August 10, 2023 | Alert | By David Adams, Steve Ganis, Kari Harris, Pete Michaels , Talia S. Primor
SEC Moves Quickly On Its 55-Part Rulemaking Agenda
July 27, 2023 | Alert | By David Adams, Steve Ganis, Kari Harris, Pete Michaels , Talia S. Primor
News & Press
SEC's Supply Chain Climate Disclosure Proposal May Be Tweaked, Securities Attorneys Say
September 18, 2023
SEC Increases Scrutiny Of Fund Administrators, Financial Attorneys Say Amid Settlements
August 15, 2023
Mintz Adds Ex-Goodwin Counsel As Member In DC
July 24, 2023
2022 Brings ESG Disclosure Challenges for Asset Managers
February 3, 2022
Events & Speaking
Fad or Fundamental: The Role of Digital Assets in the Institutional Portfolio
Investment USA Conference, Reuters
New York

David partners with innovators around the world to help them capitalize on emerging US legal and regulatory trends at the intersection of financial technology and US financial regulation. He is a seasoned regulatory and enforcement attorney with 20 years of experience in the financial services industry.
Recognition & Awards
- The Legal 500 United States: Recognized for exceptional client service (2021)
- Irving R. Kaufman Memorial Securities Law Moot Court Competition, National Championship Winner (2007)
- Irving R. Kaufman Memorial Securities Law Moot Court Competition, Best Championship Round Oral Advocate (2007)
David partners with innovators around the world to help them capitalize on emerging US legal and regulatory trends at the intersection of financial technology and US financial regulation. He is a seasoned regulatory and enforcement attorney with 20 years of experience in the financial services industry.
Involvement
- Member, District of Columbia Bar Association
- Member, New York Bar Association