Richard Heller

Richard is a partner in the firm’s Corporate Transactions & Securities practice group. He focuses his practice on securities matters.

 

His experience includes:

  • Formation of private offerings including hedge fund offering documents and exhibits, and related securities filings
  • Forming and registering broker-dealers with the Financial Industry Regulatory Authority (FINRA) as well as ongoing compliance advice for broker-dealers
  • Preparing documents and filings with Securities and Exchange Commission for public offerings, 8-K and 13-D submissions
  • Forming Investment Advisers and rendering on-going compliance advice
  • Providing state securities and "Blue Sky" advice to a number of national law firms
  • Defending clients in SEC enforcement matters
  • Defending registered representatives before the FINRA

In addition to his private practice, Richard has served three times on the Securities and Exchange Commission’s Business Forum on Small Capital Formation. The forum has published recommendations to the White House.

 

Education

  • Wake Forest University School of Law, J.D., 1978, Wake Forest Law Review, member and contributor
  • Rutgers, The State University of New Jersey, B.A., 1974, with distinction in American Studies – History

 

Professional & Civic Involvement

Professional Associations

Securities Industry and Financial Markets Association ("SIFMA")

Managed Funds Association

American Bar Association

National Society of Compliance Professionals

GAIM

 

Professional Activities

Board of Directors, Hedge Fund Association

 

Community Activities

Director and Vice President, New York City Council of the Navy League of the United States

Member, "Fleet Week" Dinner Gala Committee for the Intrepid Museum

Member, U.S. Coast Guard Auxiliary · Flotilla 10-01 (Aviation Flotilla)