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Richard S.Heller

Partnermoc.eniHnospmohT@relleH.drahciR
New York

O 212.908.3907

Richard S.Heller

Partner
moc.eniHnospmohT@relleH.drahciR
New York

O 212.908.3907

Focus Areas

Following news stories incorporate interviews with or background information provided by Richard Heller:

  • Quoted in “You could be paying for reps you don’t have to,” Regulatory Compliance Watch, November 22, 2021
  • Quoted in “SEC Accuses Minnesota Couple of $18M Ponzi Scheme,” FundFire, September 1, 2021
  • Quoted in “Invesco’s Response to Racial Injustice Criticized in Discrimination Suit,” FundFire, October 15, 2020
  • Quoted in “SEI Sues SS&C, Claiming Rival Out to Destroy Portfolio Accounting Business,” FundFire, April 20, 2020
  • Quoted in “Subsciber-suggested story: Proceed with caution if your firm plans a political fundraiser,” IA Watch, July 5, 2019
  • “Ameriprise Failed to Protect Client Assets from Advisor Theft: SEC,” FundFire, August 16, 2018
  • “No debate about it: OCIE examiners displaying interest in pay-to-play this election year,” IA Watch, September 21, 2016
  • “The New (and Difficult) Environment for Emerging Managers,” EisnerAmper Asset Management Intelligence Newsletter, May 6, 2015
  • Richard Heller quoted in “FF Alts Feature: Be Cautious with Seed Capital, Start-Up Hedge Funds Warned,” Fundfire, March 4, 2015
  • Richard Heller quoted in “FF Alts Feature: Second Regulator Lifts Hedge Ad Ban,” Fundfire, September 17, 2014
  • Hedge Fund Administration Masterclass, “Hedge Fund 101- Start Up Considerations,” Asset TV, April 2014
  • Richard Heller quoted in “Divide and Conquer,” HFM Compliance, April 2014
  • “Gary Gesler’s Tenure as CFTC Head Ends,” HFMWeek, January 3, 2014
  • “Time Will Tell” – Hedge Fund Management – July 2013
  • Richard Heller quoted in “SEC chief’s aggressive moves show she’s more than just a tough talker,” Pension&Investments,  August 5, 2013
  • Richard Heller quoted in”SEC’s SAC Charges May Assist DOJ’s Case,” FINalternatives, July 22, 2013
  • Richard Heller quoted in “Private Funds Face Broker-Dealer Registration,” Markets Media, May 28, 2013
  • Hedge Fund Law Report, quoted in “How Should Hedge Fund Managers Approach the Allocation of Expenses Among Their Firms and Their Funds”
  • Evestment/HSN, quoted in connection with the impact of the JOBS Act in “HS Industry Insiders Predict Positive Future”
  • Hedge Fund Alert Article, quoted in “New Appointment of SEC Hedge Fund Inspections Chief,” July 2012
  • “HF Lawyer Discusses Loosening of Solicitation Rule,” eVestment|HFN, June 2012
  • “JOBS Act & Dodd Frank,” Global Custodian TV, June 2012
  • “New Managers May be Facing a Perfect Storm of Obstacles,” Opalesque Group, May 2012
  • “Newly Approved JOBS Act Could Offer Investment Benefits for Hedge Funds,” HFMWeek, March 2012
  • “Republican Front-runner Romney Finds Favour with Hedge Funds,” HFMWeek, February 2012
  • “COMPLY: Advice to Latecomers for Hedge Fund Registration,” Thomson Reuters, January 2012
  • “Was Bear Stearns Case a Show Trial?” HFMWeek, November 2009
  • “SEC Bill Is In Hedge Funds’ Best Interests,” HFMWeek, November 2009
  • “My Life in Hedge Funds,” HFM Week, June 2009
  • “Putting Hedge Funds on a Tighter Leash,” Barron’s, June 2009
  • “Hedge Funds Face ERISA Compliance,” Markets Media Online, May 2009
  • “Funds, Investors Assess Operations in Madoff Wake,” Securities Industry News, February 2009
  • “Pursuit Plans Redemptions Restructuring,” HFM Week, January 2009
  • “Get Over The Hedge,” Forbes.com, November 2008
  • “Hedge Fund Inquisitor,” HFM Week, November 2008
  • “A Change Is Gonna Come,” Investment Dealers’ Digest, June 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?” HFMWeek, 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

Following articles were authored or co-authored by Richard Heller:

FAMILY OFFICE

  • Presenter, “Investment adviser Due Diligence Processes for selecting Alternative Investments and their respective Managers,” Palm Beach Investment Research Group, Inc. Family Office Services meeting; Florida, April 2014
  • Family Office Association, 2014 Spring Global Summit, Westchester, New York; April 2014

INVESTMENT MANAGEMENT | HEDGE FUND

  • Presenter, “The Current State of Private Equity,” Thompson Hine’s Investment Management Coffee Chat Webinar Series, April 29, 2021
  • Presenter, “Recent developments from FINRA and the SEC,” Citrin Cooperman’s Finop Roundtable, November 2017
  • Panelist, “SEC Oversight of Hedge Funds and How the Industry is Adapting: Emerging Trends, Areas of Focus, and Examination Considerations,” OFA Hedge Fund Compliance, October 2016
  • Moderator, “Investment Decision-Makers,” Thompson Hine 11th Annual Hedge Fund Seminar, New York, October 2015
  • Panelist, “IA Watch: The SEC’s Pay to Play Rule; Its Impact on RIAs and Broker-Dealers,” Webinar, October 2015
  • Founder and Host, Thompson Home Women In Investments networking events; New York; February 2014
  • Presenter “Preparing for an SEC Examination: How an Investment Adviser Can Get Ready,” CohnReznick, October 2014
  • Moderator, “Women in Hedge Funds,” Thompson Hine 10th Annual Hedge Fund Seminar, New York, October 2014
  • Panelist, Hedge Fund Association (HFA) Symposium –“Hedge Funds & the Regulatory Road Ahead,” Washington, D.C., May 2014
  • Guest Lecturer, “Current Broker Dealer and Hedge Fund Issues,” Rutgers University, November 2013
  • Moderator, “Regulatory & Compliance Issues Confronting Hedge Funds Today,” Thompson Hine 9th Annual Hedge Fund Seminar, New York, October 17, 2013
  • Panelist, “Hedge Funds & the Regulatory Road Ahead,” HFA Washington, DC Symposium, June 2013
  • Panelist, “Broker Dealer Registration and Compliance Issues,” Pace University Lubin School of Business, February 2013
  • Moderator and panelist, “Hedge Funds: The JOBS Act and Dodd-Frank – Two Years Later,” Thompson Hine Seminar New York, October 2012
  • Panelist, “Best Practices for Fund Managers: Regulatory and Compliance Updates”, FINforums Annual Hedge Fund Summit, September 2012
  • Panelist,”The Evolution of the Hedge Fund Industry In A Newly Regulated World,” Sponsored by Bloomberg Government, July 2012
  • Panelist, “Understanding the JOBS Act,” Alternative Latin Investor, June 2012
  • Panelist, “Hedge Fund Investing for the Family Office,” Personal Asset Management “Family Office” event, June 2012
  • Moderator and panelist, “Hedge Funds: Capital Introduction After Dodd-Frank,” Thompson Hine Seminar New York, September 2011
  • Moderator and panelist, “Life After Dodd: Navigating Hedge Funds Through the New Regulatory Environment,” Thompson Hine Seminar, New York, September 2010
  • Moderator, Activist Investor Roundtable, National Teleconference, April 2010
  • 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 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 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 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
  • AV® Preeminent Rated by Martindale-Hubbell

Professional Associations

  • Managed Funds Association
  • American Bar Association
  • National Society of Compliance Professionals

Community Activities

  • New York City Council of the Navy League of the United States, director and vice president
  • “Fleet Week” Dinner Gala Committee for the Intrepid Museum, member
  • U.S. Coast Guard Auxiliary, Flotilla 10-01 (Aviation Flotilla), member

Professional Activities

  • Hedge Fund Association, Member
  • Johns Hopkins University Physics and Astronomy Advisory Board, Member

Education

  • Wake Forest University School of Law, J.D., 1978,

    Wake Forest Law Review, member and contributor

  • Rutgers, B.A., 1974,

    with distinction in American Studies – History

Bar Admissions

  • New York

Court Admissions

  • U.S. District Court for the Southern District of New York
  • U.S. Supreme Court