Adam Walker

Before joining My RIA Lawyer, Adam was Senior Counsel at FINRA where he conducted all phases of regulatory investigations and enforcement actions involving federal securities laws and SEC and FINRA rules.  He successfully resolved more than 100 enforcement matters pertaining to charges like securities fraud, supervisory systems and procedures, registration requirements, material misrepresentations or missions, Bank Secrecy Act and Anti-Money Laundering requirements, suitability and Regulation Best Interest, advertising, record-keeping and net capital violations.  

With over two decades of experience as a litigator, general counsel for large private corporations, 

Adam brings his unique insights as a former regulator and his extensive litigation skills to assist our compliance clients and defend our advisers and firms in arbitration, state and federal Enforcement investigations and administrative proceedings. 

After successfully defending clients before regulators by turning the tables on THEM, Adam unwinds at home with his wife and three children.