James Heavey

James represents financial institutions, broker-dealers, registered investment firms, executives, and individual advisors in litigation, arbitration, regulatory proceedings, and investigations. He counsels clients on mergers and acquisitions, practice transitions, recruiting, and restrictive covenants, including the Protocol for Broker Recruiting.

He has represented board members, managing directors, and executives of Fortune 500 firms in the financial services, investment advisory, banking, and healthcare industries on employment, compensation, federal investigations, and compliance matters. He also represents corporations and individuals in federal and state criminal matters involving securities fraud, insider trading, money laundering, breach of fiduciary duty, and racketeering.

James leverages his investigative background to assist with internal corporate investigations, pre-litigation strategy, and sensitive matters affecting corporate operations, regularly liaising with federal and state agencies and prosecutor offices.

Prior to law school, James served as a Special Agent with several U.S. federal agencies, conducting international money laundering and narcotics investigations into complex narco-conspiracies and global criminal enterprises. He supported U.S. Attorney Offices in evidence collection and trial preparation, and following September 11, 2001, transferred to the newly created Department of Homeland Security in a counter-terrorism role.

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