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)
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