Robert G. Heim

Partner

P 212.216.1131   F 212.216.8001
1350 Broadway
New York, NY 10018

 
P 212.216.1131   F 212.216.8001   rheim@tarterkrinsky.com

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.

Representative Matters:

  • Convinced the SEC to close without action an investigation involving a trader who traded ahead of a significant contract announcement by the Department of Education
  • Represented a Fortune 100 banking institution in obtaining a dismissal with prejudice of a commercial lawsuit brought in New York State Supreme Court
  • Advised a Fortune 100 investment bank in a complex FINRA investigation, which was settled favorably with only a letter of caution
  • Represented a former bond trader in major parallel criminal and civil investigations brought by the U.S. Attorney’s Office and the SEC
  • Convinced the SEC to close without action an investigation involving a trader who purchased shares ahead of a major acquisition announcement by a public company
  • Advised a manager of a Fortune 500 company in a one of the largest criminal investigations conducted by the U.S. Attorney’s Office, FBI and SEC into potential violations of the Foreign Corrupt Practices Act (FCPA)
  • Represented the head of investment banking of a New York-based broker-dealer in obtaining a dismissal with prejudice of a complex federal securities fraud lawsuit brought in the U.S. District Court, S.D.N.Y.
  • Represented a multinational hedge fund in the negotiation of a complex side letter agreement with a large strategic investor
  • Represented a certified public accountant in a federal criminal prosecution for insider trading
  • Represented a hedge fund administration company in a complex federal grand jury investigation
Education
  • Fordham University School of Law, J.D. 1993, cum laude
  • Fordham University, B.A. 1990, Phi Beta Kappa
Admissions
  • New York
  • U.S. Supreme Court
  • U.S. Court of Appeals for the Second Circuit
  • U.S. Court of Appeals for the Second Circuit
  • U.S. District Court, Eastern District of New York
  • U.S. District Court, Southern District of New York
Awards and Honors
  • U.S. Securities and Exchange Commission’s Capital Markets Award
Memberships
  • New York City Bar Association
  • National Association of Criminal Defense Lawyers

Favorite NY Landmark: The Statute of Liberty

Favorite Movie: A Few Good Men with Tom Cruise and Jack Nicholson for the great trial scene

  • Law Brief Podcast: Robert Heim and Rich Schoenstein Explore “Here Comes the SEC”

    On this week’s episode of Law Brief, “Here Comes the SEC,” Litigation and Corporate & Securities partner Robert Heim joins Litigation partner and host Rich Schoenstein to discuss the Security and Exchange Commission (SEC). With his experience as a former Assistant Regional Director for the SEC, Robert Heim offers unique insight into the financial regulatory agency. Robert and Rich explain how an SEC investigation works and how a person involved as a witness or target might respond to such an investigation.

  • Robert Heim Quoted in Bloomberg Law on Fidelity Workers’ 401(k) Class Action

    Litigation and Corporate & Securities partner Robert Heim was quoted in Bloomberg Law’s article, “Fidelity Workers’ 401(k) Class Action Takes Rare Turn.” The article explores the class action targeting the affiliated mutual funds in Fidelity Investments’ 401(k) plan that will be tried before a federal judge with assistance from an advisory jury, which is an unusual decision.

  • Get to Know Robert Heim

    Robert 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. In this profile, learn more about him.

  • The New York Law Journal Reports on Recent Arrival of Veteran Litigator and Former SEC Enforcement Attorney Robert Heim

    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.

  • Robert Heim Quoted in Law360 on Settlement Agreements with 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 Expands Litigation and Corporate & Securities Practices with Addition of Veteran Litigator & Former SEC Enforcement Attorney Robert Heim as Partner

    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.

  • Robert Heim Quoted in The Wall Street Journal on SCOTUS Decision that Upholds SEC Sanctions on Broker

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in The Wall Street Journal article, “Supreme Court Sides with SEC in Broker False Statements Case.”

  • Robert Heim Quoted in Reuters on SCOTUS Decision that Safeguards Investor-Protection Laws

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in Reuters article, “U.S. Supreme Court Backs SEC Safeguards Investor-Protection Laws.” The article discusses the Supreme Court’s ruling against a New York investment banker that the Securities and Exchange Commission banned from the securities industry.

  • Robert Heim Quoted in Financial Times on SCOTUS Backing SEC Decision to Sanction Broker

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in the Financial Times article, “U.S. Supreme Court Backs SEC Over Misleading Statements.”

  • Robert Heim Featured on Bloomberg Radio About Federal Case Against Senator Menendez

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was interviewed on air at Bloomberg Radio about the pending criminal case against Senator Robert Menendez.

  • Robert Heim Featured on Bloomberg Radio About the Impact of SCOTUS Decision on Menendez Case

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was interviewed on air at Bloomberg Radio about how the Supreme Court’s decision in McDonnel v. United States could impact the federal criminal prosecution of Senator Robert Menendez. Robert explained that the 2016 unanimous ruling in McDonnel v. United States may affect Menendez’s criminal prosecution for bribery, which was elaborated and explained in the previous ruling.

  • Robert Heim Quoted in Law 360 on SEC Lifetime Ban of Broker

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in Law 360 article, “SEC Told Broker’s Lifetime Ban Not Warranted Under Janus.” The article discusses SEC decision to bar an investment banker from the securities industry for life over misleading emails he sent to prospective investors.

  • Robert Heim Quoted in The Wall Street Journal on Direction of the SEC

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in The Wall Street Journal article, “What Can Help Restore Investor Trust? Maybe the SEC.” The article discusses the potential for the agency, in pushing for more transparency and accountability within the securities industry. This new potential arises from the nomination of former prosecutor Mary Jo White as SEC chairman.

  • Robert Heim Quoted in Bloomberg on SEC Claims Against Texas Day Trader

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in Bloomberg article, “Texas Day Trader Sued by SEC Over High-Frequency Trading Claims.” The article discusses the SEC claim that a Texas day trader illegally raised more than $6 million from the Houston-area Lebanese community by making false promises that his algorithmic trading program would generate 30 percent returns.

  • Robert Heim Featured on Fox News About MF Global Letter to Congressman

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert commented on the letter sent by the collapsed global financial derivatives brokerage firm, Man Global to Congressman Jon Corzine, asking for assistance after the bankruptcy of the financial institution.

  • Robert Heim Featured on Fox News About MF Global Bankruptcy

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert discussed the collapse of the Man Financial, a former global commodities brokerage firm. Robert also explained the perceived liquidity problems and large fined that led to the firm’s bankruptcy.

  • Robert Heim Featured on CNBC About MF Global Collapse

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on CNBC. In the segment, Robert discussed the bankruptcy of the global financial derivatives brokerage firm, Man Global and the financial problems leading up to the collapse.

  • Robert Heim Tests Your Knowledge of Insider Tips in CNN Interactive Quiz

    Think you would recognize an insider tip if you heard one? It's not always so black and white, as former SEC prosecutor Robert Heim shows in the following scenarios. Test your knowledge on what makes the sharing of certain information illegal.

  • Robert Heim Authors New York Post Column on Insider Trading Enforcement

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim authored a guest column in the New York Post. The article discusses the Justice Department’s recent insider trading enforcement initiatives.

  • Robert Heim Quoted in The New York Times on Insider Trading Claim Settlement

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in The New York Times article, “Ex-Fund Manager Settles Insider Trading Claims.” The article discusses the $600,000 settlement of federal insider trading charges between a former hedge fund manager, Stephen Goldfield and a pharmaceutical executive. The charges included making $13.98 million in illegal profits by trading in MedImmune securities before AstraZeneca agreed to acquire the company for more than $15 billion.

  • Robert Heim Featured on CBS Evening News with Katie Couric About Goldman Sachs Allegations

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal analyst on CBS Evening News with Katie Couric. In the segment, Robert discussed the SEC’s enforcement action against Goldman Sachs, alleging that the investment bank defrauded investors by failing to disclose conflicts of interest in certain mortgage investments it sold.

  • Robert Heim Quoted in The Wall Street Journal on SEC Complaint Against Prime Capital

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in The Wall Street Journal, “An Annuities Firm is Accused by SEC.” The article discusses the administrative complaint made by the SEC against New York-based Prime Capital Services Inc., accusing the firm of scheming senior citizens into purchasing unsuitable variable annuities. These variable annuities were allegedly intentionally misrepresented by the PCS representatives over free-lunch seminars that the senior citizens attended.

  • Robert Heim Featured on Fox News About Madoff Prosecution

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal analyst on Fox News. In the segment, Robert analyzed the allegations made against the former financial advisor, Bernie Madoff. Robert also explained the court proceedings and potential outcomes of the Madoff case.

  • Robert Heim Featured on Fox News About Harry Markopolos

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert commented on Harry Markopolos’s congressional testimony in the wake of the Bernard Madoff scandal. Robert also explained the significance of the congressional hearing on the investigation of Madoff’s alleged $50 billion Ponzi scheme.

  • Robert Heim Featured on Fox News About Madoff

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert discussed the SEC’s failure to detect Bernard Madoff’s alleged $50 billion Ponzi scheme. Robert also explained the regulatory authority of the Securities and Exchange Commission and the administrative action taken.

  • Robert Heim Featured on Fox News About Spitzer Investigation

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert discussed the allegations against former New York Governor Eliot Spitzer. Robert also explained the federal investigation of the former New York Governor and potential outcomes.

  • Robert Heim Featured on Bloomberg TV About CFTC Enforcement Against Hedge Fund

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Bloomberg TV. In the segment, Robert discussed the allegations against Hedge Fund Amaranth and its former head energy trader, Brian Hunter. He also explained the enforcement action made by the Commodity Futures Trading Commission.

  • Robert Heim Featured on CNBC About SEC Enforcement Against Insider Traders

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on CNBC’s “On the Money.” In the segment, Robert discussed the SEC’s recent enforcement actions against insider traders.

  • Robert Heim Featured on CNBC About SEC Enforcement Against Former Apple Executives

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on CNBC’s “Closing Bell” with Maria Bartiromo, discussing the SEC’s enforcement action against former Apple executives. In the segment, Robert explained the SEC’s accusations of stock options backdating and the subsequent administrative action taken against the former Apple Computer executives.

  • Overview of U.S. Securities Laws Applicable to Broker-Dealers

    The Securities Exchange Act of 1934 (Exchange Act) is the principal law that regulates broker-dealers in the United States. The Exchange Act governs transactions in securities markets and regulates persons who effect such transactions. The individual states also regulate broker-dealer activities within their borders under state securities or “blue sky” laws.

  • How to Win an Insider Trading Case

    A charge of insider trading can have serious criminal and civil consequences for the accused. In fact, frequently, the accused will face parallel investigations by both the U.S. Attorney’s Office and the U.S. Securities and Exchange Commission. In addition, local state authorities are increasingly pursuing securities fraud prosecutions, including insider trading cases. A knowledgeable defense attorney can make a difference in an insider trading case. This article will review both the legal aspects of an insider trading case as well as the techniques investigators use to uncover and investigate insider trading.

  • Robert Heim Authors Legal and Business Guide for New Media Companies

    Litigation and Corporate & Securities partner Robert G. Heim authored Going Public in Good Times and Bad: A Legal and Business Guide for New Media Companies, a handbook which details each critical step of the IPO process for corporate officers and attorneys. Robert highlights private placements, marketing and business plans for growing companies. The guide also provides insight to help companies going public in varying economic climates.

Education
  • Fordham University School of Law, J.D. 1993, cum laude
  • Fordham University, B.A. 1990, Phi Beta Kappa
Admissions
  • New York
  • U.S. Supreme Court
  • U.S. Court of Appeals for the Second Circuit
  • U.S. Court of Appeals for the Second Circuit
  • U.S. District Court, Eastern District of New York
  • U.S. District Court, Southern District of New York
Awards and Honors
  • U.S. Securities and Exchange Commission’s Capital Markets Award
Memberships
  • New York City Bar Association
  • National Association of Criminal Defense Lawyers

Robert Heim

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