James E. Heavey

James currently represents financial institutions, broker-dealers, executives and individual advisors in federal and state litigation, arbitration, regulatory proceedings and investigations. He has extensive experience pertaining to investigations, due diligence and compliance matters. He regularly counsels financial institutions and individual advisors on raiding, recruiting and transition matters, including compliance with restrictive covenants and the Protocol for Broker Recruiting.

James has represented board members, managing directors and executives of leading Fortune 500 firms in the highly regulated financial services, investment advisory and healthcare industries concerning change of employment, compensation, severance negotiations, investigations and other employment-related issues.

James also represents corporations and individuals charged with federal and state crimes, focusing on securities and financial related matters, including insider trading, money laundering, securities matters and wire/mail fraud, among others. James draws on his investigative experience to assist in pre-indictment defense and internal investigations concerning corporate and employee criminal conduct, theft of trade secrets or other protected information and other sensitive corporate matters. James acts as liaison to law enforcement agencies when corporations uncover employee or agency illegality.

In the white collar practice area, James has represented clients or participated in the following:

• Successful defense of one the largest securities and wire fraud indictments of the President and CEO of private financial services firm brought by the Westchester District Attorney’s Office, New York
  • Successful appeal of a federal conviction of a New York City Police Officer for civil rights violations in the Eastern District of New York
  • Successful defense of an individual financial services representative in a multi-defendant indictment for insider trading and tax evasion in the Southern District of New York
• Defense of RICO and money laundering offenses against an international customs broker in the Southern District of New York
  • Defense of money laundering and financial disclosure violations of financial service professionals in the Eastern District of New York

Prior to attending law school, James served as a Special Agent for the United States and was responsible for conducting international money laundering and narcotics investigations. His duties included criminal, enforcement and regulatory investigations, as well as assisting various U.S. Attorney Offices in trial preparation. After September 11, 2001, he transferred to the newly created Department of Homeland Security in a counter-terrorism capacity.

As published annually, James was selected to New Jersey Super Lawyers Rising Stars list from 2012 to 2015, and selected to New York Metro Super Lawyers Rising Stars list, 2016 to present.

Immediately prior to joining Barton LLP, James was with Stevens & Lee.

Practice Areas:

• Arbitration
• Commercial Litigation
• Executive Compensation and Separation
• Financial Services, Investment Funds, and Securities Regulations
• Internal Investigations
• Labor and Employment Disputes
• Labor, Employment, and Executive Compensation
• Regulatory Investigations and Enforcement
• White Collar Defense

Industry Experience:

• Finance
• Investment Management
• Investor Relations

Memberships:

• New York State Bar Association
• New York County Lawyers Association

Honors:

• Selected to Super Lawyers Rising Stars: New Jersey 2012 to 2015; New York Metro 2016 -2018

Education:

• Fordham University School of Law, Magna Cum Laude, The Archibald R. Murray Public Service Award, J.D.
• Duke University, B.A.
• The Lawrenceville School

Admissions:

• New York State
• New Jersey State
• United States District Court for the Southern District of New York
• United States District Court for the Eastern District of New York
• United States District Court for the District of New Jersey
• U.S. Courts of Appeals: Second Circuit

Presentations:

• “Practical Protections and Growth: Strategies from a Legal Perspective.” Ron Carson and Carson Wealth’s Excell 2018 Conference. Las Vegas, NV. (May 31, 2018).

In the Media:

• Quoted in “Edward Jones Seeks to Stall Broker Who Joined LPL.” AdvisorHub. (May 5, 2020).
• Quoted in “Judge Kills TRO Against RayJay Team, Saying Old Employer Misled Him.” AdvisorHub. (April 27, 2020).
• Quoted in “Schwab Awarded 16-Month Injunction Against Broker Who Jumped.” AdvisorHub. (February 19, 2020).
• Quoted in “RayJay Broker Who Jumped from JPMorgan Wins a Non-Solicit Battle.” AdvisorHub. (January 3, 2020).
• Quoted in “5 Noncompete Rulings from 2019 Attorneys Should Know.” Law360. (December 13, 2019).
• Quoted in “Finra Arbitration Panel Squashes TRO Against Ex-Jones Broker.” AdvisorHub. (December 6, 2019).
• Quoted in “Federal Judge Rules in Indy Financial Adviser’s Favor in Exit From Firm.” Indianapolis Business Journal. (November 26, 2019).
• Quoted in “Indiana Judge’s Denial of ‘Retaliatory’ Edward Jones Filing Makes Waves.” AdvisorHub. (November 18, 2019).
• Quoted in “Edward Jones Loses Court Fight to Restrain Former Broker.” Investment News.” (November 15, 2019).
• Quoted in “Morgan Stanley Goes After Brokers Who Jumped Ship to Wells Fargo.” Financial Advisor. (October 2, 2019).
• Quoted in “Morgan Stanley Pursues Florida Duo Who Jumped to Wells Fargo.” AdvisorHub. (September 30, 2019).
• Quoted in “Finra Teaches Another Lesson: Don’t Delegate Test-Taking.” AdvisorHub. (September 23, 2019).
• Quoted in “Schwab Pursues Texas Broker Who Started His Own RIA.” AdvisorHub. (August 21, 2019).
• Quoted in “Are RIAs Dropping the Legal Gloves?” Barron’s. (August 14, 2019).
• Quoted in “The Fight Over Who Owns the Client Comes to RIAs.” Investment News. (August 13, 2019).
• Quoted in “Morgan Stanley Broker Who Jumped to Wells Accedes to TRO.” AdvisorHub. (July 9, 2019).
• Quoted in “Edward Jones Loses Round in Court Against Former Broker Who Defected to Ameriprise.” Investment News. (June 14, 2019).
• Quoted in “UBS Brokers Come and Go After Firm Ditches Protocol.” Barron’s. (March 16, 2018).
• Quoted in “UBS, After Dumping the Broker Protocol, Continues to See Brokers Come and Go.” Investment News. (March 15, 2018).
• Quoted in “Morgan Stanley Says Fleeing Michigan Team Leaked Plans at Client Dinner.” AdvisorHub. (February 22, 2018).
• Quoted in “Wells Fargo, Morgan Stanley Use Contrary Tactics to Keep Advisers.” Investment News. (January 25, 2018).
• Quoted in “Wall Street Fights to Keep Brokers.” Wall Street Journal. (November 27, 2017).
• Quoted in “UBS Broker-Protocol Exit Puts Firm Before Clients.” Investment News. (November 27, 2017).