Robert G. Heim

Partner

P 212.216.1131   F 212.216.8001

 

Robert G. Heim

Partner

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

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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