Richard Heller
Specializing in Hedge Funds/Private Equity/and VC transactions as well as BD and RIA registration and compliance matters
- Role
- Partner at Thompson Hine LLP
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Richard Heller
WEBSITES : | is a partner in Thompson Hine’s Corporate Transactions & Securities group, and concentrates his own practice on securities matters.His extensive capabilities include: formation of private - numerous hedge fund offering documents and exhibits, securities filings: advising on activist solicitations: forming and registering broker-dealers with the Financial Industry Regulatory Authority (FINRA): ongoing compliance advice for broker-dealers: preparing documents and filings with SEC 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: defending clients in SEC enforcement matters: defending registered broker-dealers and representatives before the FINRA: serving as Counsel of Special Committees for public companiesThroughout his career, Richard has counseled public and private financial services companies and their directors; investment advisers and broker-dealers; hedge funds, private equity funds and offshore funds. Outside of his law practice, Richard has served three times on the Securities and Exchange Commission\'s (SEC) Business Forum on Small Capital Formation. The forum has published recommendations to the White House. He is also a Board Director of The Hedge Fund Association.Recognized as a legal expert in his area, Richard is a frequent speaker on the topic of Hedge Funds. He regularly attends industry events including S.A.L.T Las Vegas Conference 2012, 2013. He is also often called upon by the media to give quotes, opinions and interviews.
Experience
Partner
Jan 2006 — Present · New York, NY, US
Securities; Investment Management; Hedge Funds; Broker-Dealers; RIA; Asset Management; Venture Capital
Education
Rutgers University
BA
1970 — 1974
Wake Forest University School of Law
JD
1976 — 1978
Skills
- Document Review
- Rico
- Securities Regulation
- Hedge Funds
- Private Equity
- Securities
- Commercial Litigation
- Corporate Law
- Due Diligence
- Corporate Governance
- Securities Litigation
- Compliance
- Private Placements
- Alternative Investments
- Mutual Funds
- Capital Markets
- Financial Services
- Venture Capital
- Investments
- Asset Management
- Ipo
- Investment Management
- New Venture Development
- Financial Regulation
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