Adam Schwartz represents clients in white-collar criminal litigation; securities, health care, banking, education, class actions, and other complex civil litigation; government regulatory enforcement matters; and internal investigations.
Prior to joining the firm, Mr. Schwartz served as Senior Trial Counsel for the Securities and Exchange Commission’s Division of Enforcement. In this role, Mr. Schwartz served as lead counsel for the Commission in cases alleging violations of the federal securities laws against, among others, bank holding companies, private equity funds, hedge funds, investment advisers, public companies, and their respective executives.
Mr. Schwartz also has extensive criminal litigation experience having served as an Assistant United States Attorney for the Southern District of Florida. During his time as a federal prosecutor, Mr. Schwartz represented the United States in numerous criminal jury trials and investigations involving allegations of health care fraud, mail and wire fraud, major fraud against the United States, bribery, extortion, money laundering, identity theft, and alien smuggling. As an AUSA, Mr. Schwartz prosecuted a defense procurement fraud case, United States v. AEY, Inc., that was featured on the front page of The New York Times and more recently the CNBC television program “American Greed,” and the highly fictionalized feature film “War Dogs.” Mr. Schwartz also prosecuted numerous health care fraud cases as a member of the Department of Justice’s Medicare Fraud Strike Force. Mr. Schwartz also represented the United States in appellate matters before the Eleventh Circuit Court of Appeals.
Mr. Schwartz began his legal career in New York as a litigation associate at Debevoise and Plimpton LLP, where he worked on a variety of commercial and white-collar litigation matters.
- Represented company and individuals in SEC investigation related to an EB-5 related capital raise, resolving the matter through a neither admit nor deny settlement.
- Represented immigration attorney in EB-5-related SEC investigations, with the SEC declining to take any action against client.
- Represented subject of Foreign Corrupt Practices Act and money laundering investigation in which the Department of Justice declined to take action against client.
- Defended UK-based company in lawsuit against investors claiming company made false and misleading statements in its IPO documents, resolving the matter through a favorable settlement.
- Serving as outside general counsel for startup broker-dealer focused on fintech solutions and representing it in various FINRA inquiries.
- Represented registered representative of a registered broker-dealer in SEC investigation regarding trading practices, with the SEC ultimately not taking any action against client.
- Represented court-appointed receiver in SEC enforcement action.
- Represented defendant in civil-RICO lawsuit related to FIFIA bribery scandal.
- Represented individual in SEC investigation regarding an unregistered initial coin offering (ICO).
- Represented company in SEC investigation and litigation in which the SEC alleged the company, through its principal, orchestrated a $1 billon Ponzi scheme.
- Represented individual charged with federal drug trafficking offenses with initial trial resulting in hung jury, and after retrial, the court defendant sentenced well below the advisory sentencing guidelines.
Professional and Civil Activities and Memberships
- Member of the Ad Hoc Committee on the Rules and Procedures for the U.S. District Court for the Southern District of Florida
- Member of the Federal Bench & Bar Conference Planning Committee for the U.S. District Court, Southern District of Florida
- Named Florida “Rising Star” by Super Lawyers (2019)
- Named one of the 40 Under 40 Outstanding Lawyers of Miami-Dade County by the Cystic Fibrosis Foundation (2013)
- U.S. Department of Health and Human Service Inspector General’s Integrity Award (2012)
- U.S. Department of Defense Inspector General’s Exceptional Public Service Award (2011)
- U.S. Department of Homeland Security’s Recognition Award for Contributions to Immigration and Customs Enforcement (2008)
- New York
- Judicial Clerkship, Honorable Cecilia M. Altonaga, U.S. District Court for the Southern District of Florida (2006-2007)
- Stanford Law School, (J.D., 2004)
- Cornell University, (B.S., summa cum laude, distinction in research, 2001)
- Adam Schwartz & Russell Koonin, High Court’s Pass on 1 SEC Case Offers Insight Into Another, LAW360, Nov. 18, 2019, available at https://www.law360.com/articles/1219930/high-court-s-pass-on-1-sec-case-offers-insight-into-another.
- Russell Koonin & Adam Schwartz, ‘Carvelli v. Ocwen Financial’: A Securities Fraud Heightened Pleading Primer, DAILY BUSINESS REVIEW, Oct. 14, 2019, at A8.
- James C. Goodale, John S. Kiernan, Jeremy Feigelson, Nicole Soffin, James Pastore, Jr., & Adam Schwartz, REPORTER’S PRIVILEGE (PLI Nov. 2003) Practicing Law Institute. PLI Order No G0 00UI, Dept. BAV5, Vol. III, Nov. 2003 Communications Law.