Robert G. Heim is a partner in the Litigation, White Collar and Government Investigations, Securities & Financial Services Litigation and Corporate and Securities Groups. Robert’s practice includes corporate formation and capital raising, hedge fund formation, registration of new broker-dealers and investment advisers, securities regulatory work, SEC defense, securities and commercial litigation, white collar criminal defense and FINRA arbitrations. He was formerly an Assistant Regional Director of the U.S. Securities and Exchange Commission in New York City.
Robert represents clients throughout the country in all phases of SEC investigations, securities and commercial litigation and appeals. He has broad experience in matters involving insider trading, market manipulation, accounting fraud, broker-dealer sales practices, penny stock trading and the unregistered sale of securities.
In December 2018, he argued an important SEC enforcement case before the U.S. Supreme Court entitled Lorenzo v. SEC. Robert has also argued cases in the D.C. Circuit, the 2nd Circuit and before the Commissioners of the SEC. At the trial level, Robert has extensive experience representing clients in SEC litigation in U.S. District Courts and in SEC Administrative Proceedings.
In his federal criminal defense practice, Robert has represented individuals and organizations in connection with grand jury investigations, criminal prosecutions, plea agreements, cooperation agreements, proffer agreements and sentencing matters, as well as prosecutions involving market manipulation, insider trading, securities fraud, the Foreign Corrupt Practices Act, bank fraud and other matters.
From 1993 to 1999, Robert was employed in the Northeast Regional Office of the U.S. Securities and Exchange Commission’s Division of Enforcement. During his tenure with the SEC, Robert was responsible for prosecuting several high-profile cases, including the SEC’s case against eight New York Stock Exchange floor brokers and the SEC’s case against Orlando Joseph Jett. He was also responsible for cases involving accounting fraud, fraudulent sales practices, insider trading and market manipulation. Robert was awarded the SEC’s prestigious Capital Markets Award in 1999.
Robert has made numerous guest appearances on television shows including At Large with Geraldo Rivera, CNN, CNBC, Fox News, CBS News, MSNBC and the BBC and is frequently quoted by The New York Times, New York Newsday, New York Post, Bloomberg and Reuters. Robert is the author of Going Public in Good Times and Bad, A Legal and Business Guide, which provides an insightful and well-structured roadmap for any firm considering moving towards private or public equity funding. In addition, given the spate of recent news stories concerning insider trading, Robert authored an article, “How to Win an Insider Trading Case.”
Robert was previously a founding partner of Meyers & Heim LLP, a securities law boutique firm formerly located in New York City.
Favorite NY Landmark: The Statute of Liberty
Favorite Movie: A Few Good Men with Tom Cruise and Jack Nicholson for the great trial scene
The New York Law Journal’s Lawyers on the Move section reported on the recent arrival of veteran litigator and former SEC enforcement attorney Robert Heim.
Robert joined the firm’s Litigation, Securities and Financial Services Litigation, White Collar & Government Investigations and Corporate and Securities practices, continuing its strategic growth and strengthening its client offerings. The article notes that he was formerly an assistant regional director of the U.S. Securities and Exchange Commission.
Litigation and Corporate & Securities partner Robert Heim was quoted in Law360’s article, “SEC Nabs $26M From Longfin Affiliates Over Stock Sales,” which discusses three settlements between the U.S. Securities and Exchange Commission and our clients, affiliates of Longfin Corp., a now-shuttered cryptocurrency company. Robert notes, "My clients are pleased that the judge has accepted the settlements and they are looking forward to putting this matter behind them."
Tarter Krinsky & Drogin, a full-service, mid-size law firm announced today that it has expanded its Litigation and Corporate and Securities practices, continuing its strategic growth and strengthening its client offerings with the addition of veteran litigator and former SEC enforcement attorney Robert G. Heim as partner.