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.

Richard is admitted to practice in the state of New York.

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

American Bar Association
National Society of Compliance Professionals
GAIM

Professional Activities

Board of Directors, Hedge Fund Association · 2008

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)

Publications

  • The following news stories incorporate interviews with or background information provided by Richard Heller:
  • "Was Bear Stearns case a show trial?" · HFMWeek, November 19, 2009
  • "SEC Bill Is In Hedge Funds' Best Interests" · HFMWeek, November 5, 2009
  • "My Life in Hedge Funds" · HFM Week, June 25, 2009
  • "Putting Hedge Funds on a Tighter Leash" · Barron's, June 29, 2009
  • "Hedge Funds Face ERISA Compliance" · Markets Media Online, May 20, 2009
  • "Funds, Investors Assess Operations in Madoff Wake" · Securities Industry News, February 2, 2009
  • "Pursuit Plans Redemptions Restructuring" · HFM Week, January 29, 2009
  • "Get Over The Hedge" · Forbes.com, November 16, 2008
  • "Hedge Fund Inquisitor" · HFM Week, November 6, 2008
  • "A Change Is Gonna Come" · Investment Dealers' Digest, June 23, 2008
  • "Another Hedge Fund Acquisitions Wave" · HFMWeek, April 2008
  • "Hedge Funds Ramp Up Risk Measures" · Investment Dealers' Digest, November 2007
  • "Hedge Funds Face Uncertain Future" · Investment Dealers' Digest, October 2007
  • "Fed's Rate Cut Boosts Confidence in Alternatives" · HFM Week, October 2007
  • "Crisis? What Crisis?" · HFM Week, August 2007
  • "Hedge Funds: Rewarding Risk" · Business Courier Roundtable Series, June 2007
  • "'Sub-primes' of a Different Kind are Altering the Prime Brokerage World" · HFM Week, June 2007
  • "Guidelines, Says Thompson Hine" · Black Enterprise Magazine, January 2007
  • "Law Firm Warns Hedge Funds to Review Brokerage Relationships" · Compliance Reporter, January 2007
  • "The End of Easy Money" · Forbes, January 2007
  • "Hedge Funds Face January 24 SEC Deadline for Soft Dollar Arrangements; Brokers Will Need to Work With Funds to Satisfy New Guidelines, Says Thompson Hine" · MarketWatch.com, January 2007
  • "Hedge Funds Face January 24 SEC Deadline for Soft Dollar Arrangements; Brokers Will Need to Work With Funds to Satisfy New Guidelines, Says Thompson Hine" · Morningstar, January 2007
  • "SEC Keeps Brokers in Line With New Soft Dollar Rules" · Securities Law 360, November 2006
  • The following articles were authored by Richard Heller:
  • Co-author, "A Summary of Sound Practices for Hedge Fund Managers" · Financial Bridges, Winter 2007-2008
  • "Emerging Developments in Hedge Fund Law" · Thompson Hine Bulletin, February 2007
  • Author, "Advertising by Attorneys" · Wake Forest Law Review
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Presentations

  • Panelist, "Financial Regulatory Reform - How Will Advisers Fare?", Thompson Hine Seminar; Columbus, Ohio, November 2009
  • Panelist, Capitol Hill Symposium on U.S. Hedge Fund Industry Regulation, Washington, D.C., October 2009
  • Moderator, "Navigating a Hedge Fund In These Volatile Times", Thompson Hine Seminar, New York, October 2009
  • Panelist, “Hedge Fund Proposed Legislation and Operations” · Sponsored by Opalesque and Prime Fund Solutions, New York, September 22, 2009
  • Panelist, The Hedge Fund Association Symposium on U.S. Hedge Fund Regulation, New York, June 2009
  • Moderator, "Pursuing Distressed Investing Opportunities", Thompson Hine Teleseminar, May 2009
  • Panelist, Hedge Fund Association Symposium on U.S. Hedge Fund Regulation, Chicago, April 2009
  • Moderator, "Hedge Fund Marketing in the Internet Age" · Thompson Hine Seminar, New York, October 2008
  • Guest, "Nightly Business Report", PBS, July 21, 2008
  • Panelist, "Fund Regulation: What's So Terrible About Being Regulated After All?", HFMLive Montreal, June 2008
  • Panelist, "Hedge Fund Marketing in the Internet Age", HFA Seminar, May 2008
  • Moderator, "Navigating a Hedge Fund in these Volatile Times" · Thompson Hine Seminar, New York, October 2007
  • Guest, "Hedge Fund Loss-Suits", CNBC, July 23, 2007
  • Moderator, "Fiduciary Landmines in Organizing and Operating Hedge Funds: How to Identify and Resolve Fiduciary Issues in Structuring and Operating Hedge Funds" · Thompson Hine Seminar, Chicago, May 2007
  • Participant, Hedge Fund & Private Investment Roundtable Discussion, March 2007
  • Speaker, "Hedge Fund Compliance Seminar: Implementing Effective Controls and Managing Conflicts of Interest in the Changing Regulatory Environment", Institutional Investor Events, October 2006
  • Speaker, "Fiduciary Landmines in Organizing and Operating Hedge Funds: How to Identify and Resolve Fiduciary Issues in Structuring, Soliciting and Operating Hedge Funds" · Thompson Hine Seminar, New York, September 2006
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