Adam L. Schwartz

Adam Schwartz defends individuals and companies in criminal and civil government investigations and lawsuits, focusing on cases involving fraud, money laundering, and violations of federal securities laws.

As a former Assistant U.S. Attorney in the Southern District of Florida and Senior Trial Counsel for the Securities and Exchange Commission (SEC), he understands regulatory priorities and how to advocate effectively for his clients.

Adam’s clients include investment advisers, securities brokers, corporate officers and directors, and foreign nationals doing business in the financial services, real estate and health care industries. His experience as a federal prosecutor for both the Department of Justice (DOJ) and the SEC helps him skillfully and pragmatically navigate parallel civil and criminal investigations.

Adam guides clients through SEC, DOJ, Department of Health and Human Services (HHS), Financial Industry Regulatory Authority (FINRA) and other state and federal agency investigations. He conducts internal investigations for companies and their audit committees in response to whistleblower complaints and represents clients in complex commercial civil litigation, including matters involving claims of securities fraud, civil fraud, intentional torts and class actions.

As a prosecutor, Adam handled the high-profile defense procurement fraud case, United States v. AEY, Inc., that inspired the major motion picture “War Dogs,” and was featured on the front page of The New York Times and in the CNBC program “American Greed.”

Experience

• Guided an individual charged with money laundering related to violations of the Foreign Corrupt Practices Act (FCPA) involving the payment of bribes to the Chairman of an Ecuadorian state-run insurance company. After negotiations with the DOJ and multiple court hearings, the client avoided prison and ultimately received a sentence of home confinement
• Represented multiple individuals in SEC investigations into purportedly fraudulent EB-5 program investments without any charges brought against the client
• Represented an individual in a parallel civil and criminal investigation regarding an alleged Ponzi scheme. After multiple meetings with SEC and DOJ officials, both entities declined to pursue any claims
• Assisted a foreign national in obtaining a U.S. visa who was previously a person of interest in a DOJ investigation