New York Council, Navy League of the U.S.
New York Council, Navy League of the U.S.
 
New York Council, Navy League of the U.S.

New York Council, Navy League of the U.S.
New York Council, Navy League of the U.S.
National Security Briefing: CAPT Greg Case, USCG

The 2017 National Security Briefing Breakfast Series began on February 28 at The Cornell Club with...
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    Richard Heller, Vice President

    Richard Heller

    Partner Thompson Hine


    Corporate Transactions & Securities
    Investment Management
    Family Office Services
    Securities & Shareholder Litigation


    Overview

    A partner in the firm's Corporate Transactions & Securities and Investment Management practices and the Family Office Services group, Richard primarily concentrates his focus on securities matters.

    Richard routinely advises a variety of investment management clients, including private equity funds, hedge funds, pension funds, fund of funds, independent sponsors, venture capital funds, broker-dealers, registered investment advisers and their investors, sponsors and principals.

    Additionally, Richard counsels family offices on various issues including family office structure and management, and regulatory matters.

    Richard's extensive capabilities include:

    · formation of private offerings including family investment funds, hedge fund offering documents and exhibits, and related securities filings;

    · family office governance;

    · venture capital and private placements;

    · advising on activist solicitations;

    · 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;

    · defending clients in SEC enforcement matters;

    · defending broker-dealers and registered representatives before the FINRA; and

    · serving as Counsel of special committees for public companies.

    Throughout his career, Richard has counseled public and private financial services companies and their directors, family offices, investment advisers and broker-dealers, hedge funds, private equity funds and offshore funds.

    Outside of his law practice, Richard served three consecutive terms 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 authority in his area, Richard is frequently called upon to participate in prominent Family Office and Investment Management conferences, including SALT Las Vegas, and is requested by the media to give quotes, opinions and interviews.



    Email: richard.heller@thompsonhine.com
    Telephone: 212.908.3906

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New York Council, Navy League of the U.S.
New York Council, Navy League of the U.S.
New York Council, Navy League of the U.S.

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