e Many Lives of James E. Heavey

An Interview with Barton’s Favorite Operations Partner

So as I understand it, before you became a lawyer, your first career was in law enforcement. How did you get into that line of work?

I come from an extensive law enforcement family consisting of federal Special Agents and New York City police officers. My dad was the Special Agent in charge of the U.S. Secret Service New York Office. My uncles and aunts were all agents and detectives. Then my older sister, who was a role model to us little ones, became a Special Agent. We were always surrounded by very brave, principled, established role models that any kid would look up to and want to emulate.

In that environment, we were required to move every few years of my life. I learned a lot about how to adapt to new environments. Competitive sports were a big way in which my sisters and I assimilated into new communities all around the country—it helped make up for our funny New York accents. I ended up playing Division I lacrosse at Duke University. Playing sports provided a foundation for collective success and relying on others. I think my athletic experience definitely contributed to my continued desire to be part of a team and compete in life, whether it be on the street in law enforcement or in the courtroom.

What kind of work did you do in law enforcement?

I worked as a detective on a New York State Police Task Force and as a Special Agent on a federal strike force. In these roles, I worked undercover investigating narcotics and money laundering. When I was undercover (back when I had long hair and a beard), I primarily bought drugs or investigated the smuggling of drugs. I happened to be very effective at purchasing drugs undercover in scenarios where they hadn’t found success sending other agents. I think a lot of it goes back to my general competitive nature and learning to quickly adapt to new situations.

Before 9/11, I worked exclusively in narcotics and money laundering. After 9/11, the efforts and resources dedicated to narcotics were redirected to the immediate commercial aviation security concerns. The majority of agents in narcotics were reassigned to airplanes. I ended up working as an Air Marshal for the Department of Homeland Security on a counterterrorism team out of the New York area providing security on domestic and international flights.

So how did you end up in law school then?

Being an Air Marshal was actually the most boring job I’ve ever had because we really didn’t do much enforcementwise. I was basically stuck on an airplane for 14 months, so I started buying a ton of LSAT study books and reading the material as a mental exercise to pass the time. I studied those books for months and eventually one of my partners said, “If you don’t take that test, I’m going to kill you.” So I took the LSAT and did surprisingly well. Then it was like, Well I guess I have to go to law school now.

My exposure to the criminal justice system also helped push me towards law school. It became clear to me that the people that had the most influence in the justice system were the attorneys and judges. I realized that even when I was the person putting people in handcuffs, I was playing a secondary role once we got to the courtroom. To some degree, I looked at that as another challenge. So I left federal service and law enforcement to complete law school in my late 30s and work full time. I saw it as an opportunity to build on my body of knowledge and develop a more refined understanding of the law. While that was the end of my law enforcement career, it certainly wasn’t the end of my career in law.

As a lawyer now, what are your primary areas of practice?

Today, my practice is primarily focused on litigation in the financial services industry. Our team at Barton works a lot of cases involving enforcement and regulatory authorities like the SEC, FINRA, and the DOJ. I have a general comfort level dealing with federal and regulatory agencies, particularly in adversarial situations and defense scenarios. I’m very comfortable arguing in court, examining witnesses, and being in front of a judge. A lot of this goes back to my experience being a witness in numerous trials during my time in law enforcement. I got to learn firsthand by watching some of the best defense attorneys in the country operate in the courtroom.

Our team at Barton does a lot of defense work representing national broker-dealers and institutions in litigation involving alleged theft of trade secrets, misappropriation of client information, and poaching of high-level personnel. We’ve actually had a lot of national press for our work in the broker-dealer world in instances where brokerdealers have left one firm for another. The former firm often alleges that the broker-dealer is misappropriating client lists and trade secrets and tries to stop the broker-dealer from “stealing” clients with a Temporary Restraining Order (TRO). We’ve been really successful at defeating these TROs in federal court all over the country.

What’s this whole thing about you being a judge now, too?

During Covid, I was out in Colorado volunteering at a local legal clinic when I had the opportunity to meet the Sheriff and the Mayor of the local towns. Their county hadn’t had a judge on the bench for 16 months and therefore couldn’t collect any revenue on behalf of the towns for things like misdemeanors, municipal violations, and code ordinances. So in June of 2021, I was appointed as the City Municipal Judge of the towns of Westcliffe and Silver Cliff, Colorado. A few days a month, I fly out there and hear all the cases on the docket. In doing so, we generate some revenue and goodwill for the towns. As part of our pro bono efforts here at Barton, I defer any compensation so that the money is put back into the legal resources of the local community.

Being a judge is a unique opportunity to give back to the community and to be a problem solver in disputes where I would typically be advocating for one side or the other. I take my judicial responsibilities very seriously—even though the cases I preside over may not be big issues from a legal or monetary standpoint, they do have a lot of extenuating factors beyond the simple question of whether or not the law was violated. I’m also very mindful that I’m making decisions that affect real people, and those decisions have to be supported by law and facts that would hold up under appellate review. This helps keep me grounded both on the technical aspects of the law and the decisions coming out of the court. That’s an element of being in the judge’s chair that’s completely unique to me and something that I’m still learning. The experience has definitely broadened my perceptions of the litigation process.

How have all of your different roles and careers complemented each other?

The skills that I learned as a Special Agent apply on so many levels to what I do now as a lawyer. I utilize numerous techniques I learned in law enforcement in my litigation investigations, such as crossexamination and interviewing of witnesses and dealing with adversarial or hostile individuals. The volume of cases I dealt with as an agent, my evidence and discovery responsibilities, and my experience with the litigation preparation with U.S. Attorneys’ offices uniquely prepared me to support my current legal practice and clients. Conversely, being an attorney has subsequently broadened my diplomacy and interpersonal skills to communicate and represent clients more effectively. As for being a judge, that role has really broadened my perspective on it all, which I find benefits the way I approach my clients’ matters.

Each role I’ve held in the justice system has had its own challenges and has allowed me to take on different perspectives. I’ve tried to carry certain principles throughout my life and career by building on my skill sets to be the most effective agent, lawyer, and judge possible. I believe there’s always room to grow, and I look forward to doing so with my clients here at Barton. ♦