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Adam Jay Wasserman
About Adam
Biography
Adam J. Wasserman is the Head of Enforcement for NYSE Regulation. Prior to this appointment, he served as a White Collar and Securities Litigation partner at Dechert LLP.
In 2012, Mr. Wasserman was selected as one of the nation's five White Collar "Rising Stars" under the age of 40 by Law360. Mr. Wasserman has been recognized by The Legal 500 United States for securities litigation and shareholder class action defense. And, since 2013, he has been named to the New York Metro Super Lawyers list in connection with his securities litigation work. Mr. Wasserman was also appointed to Law360's White Collar Editorial Advisory Board for 2014.
Practice Areas
Fees and Rates
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Chat withLicenses
Licensed in New York for 27 years
State: New York
Acquired: 1999
No misconduct found
Location
NYSE Regulation
20 Broad Street, New York, NY, 10005
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Experience
Honors
2014
New York Super Lawyer, Super Lawyers
2012
White Collar Rising Star, Law 360
Work Experience
2014 - Present
Head of Enforcement, NYSE Regulation
2007 - 2014
Partner, Dechert LLP
2005 - 2006
Associate, Dechert LLP
2000 - 2004
Associate, Swidler Berlin Shereff Friedman
1998 - 2000
Associate, Debevoise & Plimpton
1997 - 1998
Law Clerk, Judge Franklin S. Van Antwerpen (U.S. District Court for E.D. Pa.)
Education
1997
Harvard Law School
J.D.
1994
Pomona College
B.A.
Speaking Engagements
2014
Regulation, Operations & Compliance (ROC) Cayman 2014™
SEC Examinations 2014 – Analysis of New Priorities, Processes & Techniques™
2014
RCA -- Practice Edge Session
Building a Compliance Program to Support Expert Network Use
2014
2014
General Counsel Breakfast Session
General Counsel Breakfast Session
2014
ACA Compliance Group Spring Compliance Conference
Compliance "Black Swans" - Handling Unforeseeable Events
2013
RCA -- Practice Edge Session
SEC Chairman Mary Jo White - An Era of Bold and Unrelenting Enforcement
2013
Dechert's Global Asset Management Conference
Enforcement Trends Around the Globe
2013
2012
Securities Docket Webcast
Insider Trading Compliance for Hedge Funds and Other Regulated Entities
2012
RCA's 2012 Regulation and Risk Thought Leadership Symposium
CCO and Fund Manager Liability: Emerging Inquiries and Investigations
2012
Dechert Client Seminar
Hedge Fund Litigation/Regulation Triple Play
2011
West LegalEd Webinar
Risky Business: Trafficking in Insider Information About Customers
2011
New York State Society of CPA's Hedge Funds and Alternative Investments Conference
Regulatory Update
2011
Manulife Asset Management/John Hancock- Global Compliance Offsite
Recent Insider Trading Issues and International Enforcement Initiatives
2011
Fordham School of Law "Recent Development in U.S. Law" Conference
Asset Management Regulation ─ Prioritizing the Impact and Implications
Publications
2014
2014
2013
2013
2012
2011
Wall Street Lawyer
Risky Business: Trafficking in Insider Information about Customers
2011
2011
Hedge Funds Review
Galleon Insider Trading Conviction Signals Tougher Stance by U.S. Government
Languages
English