Deb Heilizer, a member of Sutherland's Litigation Practice Group, represents public companies and regulated entities, including broker-dealers, investment advisers and individuals in a wide range of securities matters. Deb's practice has particular emphasis on accounting and financial issues, regulatory enforcement, and litigation involving the U.S. Securities and Exchange Commission (SEC), self-regulatory organizations and private litigants. She also advises clients on state and federal regulatory matters, disclosure issues and compliance matters. Prior to joining the firm, Deb was in-house counsel at the retail brokerage division of a large financial institution, where she handled litigation and regulatory matters. For more than a decade, she also worked at the SEC's Division of Enforcement conducting and supervising investigations involving potential violations of the federal securities laws. Many of these matters involved public company financial statement issues, disclosure issues, broker-dealer issues, investment adviser matters and potential insider trading. Deb served as a law clerk for the Honorable Charles A. Legge of the U.S. District Court for the Northern District of California. Professional Honors and Awards · Recipient, 2011 Highly Commended Award Winner by the Emerald Literati Network for co-authoring "FINRA's Sanctions in 2009: A Sign of Things to Come?" published in the November 2010 issue of the Journal of Investment Compliance · Named to The Best Lawyers in America in the area of litigation - securities law (2012) Recent Publications and Speaking Engagements · Co-author, "The CFTC Flexes its Enforcement Muscles: Some Tips for Handling CFTC Administrative Proceedings," Bloomberg Securities Law (January 9, 2012) · Co-author, "Revisiting FINRA's Class Waiver Policy Post-AT&T," Law360 (August 31, 2011) · Co-author, "FINRA Enforcement - Analysis and Trends," Practical Compliance & Risk Management for the Securities Industry (May-June 2011) · Co-author, "FINRA's Sanctions in 2009: A Sign of Things to Come?" 11 Journal of Investment Compliance 4 (November 2010) · Co-author, "FINRA Restricts Internal Use Only Rules Through Enforcement Actions," Market Solutions, Financial Markets Association (October 2010) · Co-author, "Annual Review of FINRA Sanctions Finds Disciplinary Slowdown Began to Reverse in 2009," Wall Street Lawyer, Copyright © 2010 Thomson Reuters (August 2010) · Author, "Customer Complaints," Practical Compliance & Risk Management for the Securities Industry (May-June 2010) · Co-author, "The Market Meltdown and Mutual Fund Investors: Likely Claims and Several Potential Defenses," Securities Regulation & Law Report (April 26, 2010) · Co-author, "FINRA's Take On Internal Communications," Securities Law360 (February 18, 2010) · Co-author, "FINRA 2008: An Oscar Winning Year?" Securities Regulation Law Journal (Fall 2009) · Co-author, "Portfolio Valuation for Compliance Personnel: Strategies and Steps," Journal of Practical Compliance (February 2009) · Co-author, "What's In A Name? Enforcement Trends and Possible Implications for FINRA," The Review of Securities & Commodities Regulation (October 3, 2007) · Co-author, "Tips for the Newlywed Regulators," The National Law Journal (March 12, 2007) · Co-author, "Practical Pointers for Regulatory Examinations," Investment News (August 21, 2006) · Speaker, Sutherland Securities Symposium (July 31, 2008) · Speaker, NSCP New York Membership Meeting (May 7, 2007; May 27, 2008) · Speaker, NSCP Boston Membership Meeting 2007 (April 23, 2007; April 7, 2008) Industries Financial Services Retirement Products and Services News Revisiting FINRA's Class Waiver Policy Post-AT&T
September 6, 2011 Sutherland Attorneys Receive Top Accolades for Article on FINRA Sanctions
April 20, 2011 Annual Sutherland FINRA Sanction Study Shows Enforcement Actions on the Rise
February 28, 2011 FINRA Fines, Actions Sped Up in 2009: Report
July 8, 2010 Reprinted with permission Law 360 , http://site.law360.com/ Sutherland Finds FINRA Slowdown Began to Reverse in 2009
July 8, 2010 FINRA 2008: An Oscar Winning Year?
June 3, 2009 Legal Alerts Legal Alert: Regulatory Watch List for 2012: The Shifting Landscape for Hedge Funds and Other Private Funds
February 8, 2012 Legal Alert: Summary of Selected Programs from SIFMA Compliance & Legal Division's 2011 Annual Seminar
April 15, 2011 Legal Alert: FINRA Delays Implementation of New Suitability Rules Until July 2012
April 11, 2011 Legal Alert: Annual Sutherland FINRA Study Shows Enforcement Actions on the Rise
March 1, 2011 Legal Alert: Significant Changes to FINRA's Know Your Customer and Suitability Rules to Take Effect in 2011
January 3, 2011 Legal Alert: How Georgia's New Restrictive Covenants Laws May Impact Broker-Dealers
November 29, 2010 Legal Alert: Impact of Dodd-Frank Wall Street Reform and Consumer Protection Act on Broker-Dealers
August 16, 2010 Legal Alert: Sutherland Issues Annual Review of FINRA Sanctions: Finds FINRA slowdown began to reverse in 2009
July 12, 2010 Legal Alert: FINRA Proposes to Include More and Older Information on BrokerCheck
February 24, 2010 Legal Alert: FINRA Restricts Internal Use Only Rules Through Enforcement Actions
January 6, 2010 Legal Alert: Sutherland Finds That FINRA Sanctioned Far Less in 2008 Than in Previous Three Year
June 3, 2009 Legal Alert: Highlights From the 2009 SIFMA Legal and Compliance Annual Seminar
April 3, 2009 Legal Alert: Sutherland to Host Webinar on FINRA Sweep of Sales and Promotion of Non-Traded REITs
March 30, 2009 Legal Alert: Supreme Court to Hear Investment Adviser Fee Case
March 16, 2009 Legal Alert: State Securities Regulators Propose an Agenda for Change, Will Not Take the Financial Crisis Lying Down
February 9, 2009 Legal Alert: Sutherland to Host Webinar on FINRA Sweep of Broker-Dealer Referrals of Investment Advisory Services
January 26, 2009 Legal Alert: State Securities Regulators Discuss Developments and Initiatives
October 2, 2008 Legal Alert: SEC and FASB Provide Clarification on Fair Value Accounting Rules
October 2, 2008 Legal Alert: Warnings About Replacing AIG Policies
September 29, 2008 Legal Alert: Federal Court Orders the Production of Attorney Notes
September 9, 2008 Legal Alert: Changes to DOJ Corporate Charging Guidelines
September 8, 2008 Legal Alert: Sutherland to Host Conference Call on FINRA Sweep Examination of Auction Rate Securities
August 22, 2008 Legal Alert: FINRA Spring Securities Conference
June 23, 2008 Legal Alert: Seventh Circuit Rejects "Reasonableness" as the Standard for Excessive Fee Claims Under Section 36(b) of the 1940 Act
May 30, 2008 Legal Alert: Is There a "Good Faith" Defense to Securities Fraud? Courts, the SEC and FINRA in Conflict
April 29, 2008 Legal Alert: SEC Proposes to Amend Regulation S-P to Require New Client Information Safeguards and Allow Reps to Take Certain Client Information When They Change Broker-Dealer or Investment Adviser Firms
March 5, 2008 Legal Alert: Sutherland to Host Conference Call on FINRA Sweep Examination of Life Settlements
November 13, 2007 Legal Alert: CFTC Amends Commission Recordkeeping Rule with Goal of Improving Market Oversight
October 30, 2007 Legal Alert: FINRA Fall Securities Conference
October 25, 2007 Legal Alert: Sutherland Study Finds That It Sometimes Pays to Litigate Against FINRA (Formerly NASD)
September 27, 2007 Legal Alert: Sutherland to Host Conference Calls on FINRA Sweep Examination of the Use of Professional Designations Involving Seniors and Retirees
September 12, 2007 Legal Alert: FINRA Conducting a Sweep Examination of Pitches to Retirees and Section 72(t) Withdrawals
August 3, 2007 Legal Alert: FERC Stepping Up Enforcement Efforts
June 1, 2007 Legal Alert: Summary of Selected Programs from SIFMA Compliance & Legal Division's 2007 Annual Seminar
April 3, 2007 Legal Alert: NASD Provides Guidance and Mandates Additional Procedures for Firms' Supervision of Representatives Transferring from Other Firms
February 21, 2007 Publications The CFTC Flexes its Enforcement Muscles: Some Tips for Handling CFTC Administrative Proceedings
January 9, 2012 Reprinted with permission from Bloomberg Securities Law FINRA Enforcement - Analysis and Trends
May-June 2011 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry FINRA's Sanctions in 2009: A Sign of Things to Come?
November 2010 Journal of Investment Compliance FINRA Restricts Internal Use Only Rules Through Enforcement Actions
October 2010 Reprinted with permission Market Solutions, a publication of the Financial Markets Association Annual Review of FINRA Sanctions Finds Disciplinary Slowdown Began to Reverse in 2009
August 2010 Reprinted with permission Wall Street Lawyer. Copyright © 2010 Thomson Reuters Customer Complaints
May-June 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry The Market Meltdown and Mutual Fund Investors: Likely Claims and Several Potential Defenses
April 26, 2010 Reprinted with permission BNA's Securities Regulation & Law Report FINRA's Take On Internal Communications
February 18, 2010 Reprinted with permission Securities Law360, http://www.law360.com FINRA 2008: An Oscar Winning Year?
Fall 2009 Reprinted with permission Securities Regulation Law Journal Valuation for Compliance Personnel: Strategies and Steps
January - February 2009 Reprinted with permission Practical Compliance & Risk Management For The Securities Industry What's In A Name? Enforcement Trends and Possible Implications for FINRA
October 3, 2007 Reprinted with permission The Review of Securities & Commodities Regulation Tips for the Newlywed Regulators
March 12, 2007 Reprinted with permission, The National Law Journal Practical Pointers for Regulatory Examinations
August 21, 2006 Reprinted with permission Investment News Events Sutherland Securities Symposium
July 31, 2008 NSCP New York Membership Meeting
May 7, 2007 NSCP Boston Membership Meeting 2007
April 23, 2007 |