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David Heaton is listed as Deputy General Counsel and Managing Director at Bank of America Merrill Lynch at Bank of America Merrill Lynch, based in Greater Boston, United States. AeroLeads shows a work email signal at baml.com and a matched LinkedIn profile for David Heaton.
David Heaton previously worked as Deputy General Counsel and Managing Director at Bank Of America Merrill Lynch and Managing Director and Associate General Counsel at Bank Of America Merrill Lynch. David Heaton holds Bachelor Of Arts (B.A.), Political Science And Government from Amherst College.
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I currently serve as Deputy General Counsel responsible for managing the legal teams that support Merrill Lynch Wealth Management, Merrill Edge, Merrill Investment Solutions Group, Merrill Chief Investment Office and Retirement and Personal Wealth Solutions.In this role, I advise BAC Management Team Members, Senior Risk and Compliance executives on legal, regulatory and reputational risk matters impacting Merrill. Previously I was an Associate General Counsel and Managing Director supporting Merrill Lynch Wealth Management and Merrill Edge. In this role I led the legal team that advises both traditional registered representative based brokerage and investment advisory products as well as online self directed brokerage and robo advisory products. Before supporting Merrill’s brokerage unit I managed a large team that supported the Consumer Bank sales channels, including brick and mortar banks, call centers, digital, small business banking and self directed brokerage. I began my career with the Bank as an Assistant General Counsel and Director supporting the Global Wealth Investment Management Group at Bank of America Merrill Lynch. I supported various lines of business in Merrill Lynch's Managed Solutions Group. Prior to joining the Bank I was a counsel in WIlmerHale's Securities Department, and a member of the Investment Management Practice Group. At WIlmer I advised a range of financial service industry clients, including investment advisers, hedge funds, mutual funds and broker-dealers.Prior to joining WilmerHale, I was an associate in the Investment Management Practice Group of Sullivan & Worcester. Specialties: Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA Rules, CFTC and NFA Rules and Regulations
Listed skills include Securities, Finra, Investment Management, Hedge Funds, and 19 others.
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Charlotte, Nc, Us
I am a Deputy General Counsel responsible for managing the legal teams supporting Merrill Lynch Wealth Management (including Merrill Edge) and the Merrill Lynch product teams (Retirement, Investment Advisory, Global Funds, Capital Markets and Chief Investment Office).
Charlotte, Nc, Us
I manage a team of attorneys and paralegals that support the sales channels for the consumer bank, including retail, preferred and small business banking. I also manage the legal teams responsible for coverage of Merrill Edge (including Merrill Edge Self-Directed, Merrill Edge Advisory Center and Merrill Edge Selects Portfolios), Retail and Preferred Marketing, Online Banking and Retail Financial Center (branches) Operations. With the support of my team of lawyers and paralegals, I cover a broad spectrum of legal subject matters, ranging from BD and Advisers Act issues, such as regulatory inquiries and enforcement matters and general supervision and compliance matters, to retail banking issues, such as UDAAP, fair lending, reputations risk, banking center operational issues and TCPA. Through my work, I also interact with many regulators, including the CFPB, SEC, FINRA, OCC, the Federal Reserve and various state regulatory bodies.
Charlotte, Nc, Us
I manage a team of attorneys that support the Preferred and Small Business Banking Group and Merrill Edge.
Us
Advise both SEC registered and unregistered investment advisers on regulatory, general securities and compliance matters related to the management and marketing of unregistered investment vehicles, separately managed accounts, “wrap fee” programs and registered investment companies. Assist clients with regulatory filings, requests, examinations and enforcement proceedings initiated by the SEC, FINRA, NFA, CFTC and state securities regulators. Assist clients with structuring, formation and ongoing operations of complex unregistered investment vehicles, including fund of funds, master-feeder funds, “mini-master” funds, incubator funds and statutory trusts. Advise clients on strategic relationships, mergers and acquisitions, and lift outs of investment management businesses, representing both purchasers and sellers of such businesses.
Washington, District Of Columbia, Us
Provided legal analysis regarding new, amended and existing FINRA rules and regulations. Managed and provided interpretive guidance to FINRA District Office examination staff. Developed and directed special initiatives and sweeps of emerging regulatory issues, including soft dollars, mutual fund break points and business development companies, and assisted in drafting related FINRA Notices to Members.
Boston, Ma, Us
Participated in the formation of open-end and closed-end registered investment companies and variable insurance products. Advised SEC registered investment advisers on day-to-day regulatory and compliance matters, including formation, registration and operational issues. Assisted broker-dealers with regulatory matters, including operational issues, FINRA examinations and enforcement actions.
Conducted an internal investigation on behalf of the audit committee of a public company and advised broker-dealers in FINRA enforcement actions relating to market timing and late trading issues.
Provided formation, compliance and regulatory advice to investment advisers, commodity pool operators, commodity trading advisers and futures commission merchants.
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David Heaton works for Bank of America Merrill Lynch.
David Heaton is listed as Deputy General Counsel and Managing Director at Bank of America Merrill Lynch at Bank of America Merrill Lynch.
AeroLeads has found 1 work email signal at @baml.com for David Heaton at Bank of America Merrill Lynch.
David Heaton is based in Greater Boston, United States while working with Bank of America Merrill Lynch.
David Heaton has worked for Bank Of America Merrill Lynch, Bank Of America, Wilmer Cutler Pickering Hale And Dorr Llp, Finra, and Sullivan & Worcester Llp.
You can use AeroLeads to view verified contact signals for David Heaton at Bank of America Merrill Lynch, including work email, phone, and LinkedIn data when available.
David Heaton holds Bachelor Of Arts (B.A.), Political Science And Government from Amherst College.
David Heaton is listed with skills including Securities, Finra, Investment Management, Hedge Funds, Investment Advisory, Alternative Investments, Financial Services, and Mergers And Acquisitions.
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