Bruce H Newman
USA Guide 2023
Band 2 : Financial Services Regulation: Broker Dealer (Compliance)
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[email protected]Contact number
1 212 230 8835Share profile
Band 2
About
Provided by Bruce H Newman
Practice Areas
Bruce Newman has extensive experience handling a broad range of broker-dealer regulatory and enforcement issues, including issues related to trading, sales, research, banking, soft dollars, cross-border activities, net capital, customer protection, margin, and new and continuing membership applications, involving stocks, bonds and derivatives.
Mr. Newman has extensive experience in broker-dealer issues, policies and compliance practices. Mr. Newman has previously served as Director of Equities Compliance and Executive Director at UBS Warburg LLC, Director of Capital Markets Compliance at PaineWebber, Inc. and Branch Chief of the Broker-Dealer Enforcement Division of the SEC.
Learn more at: https://www.wilmerhale.com/en/people/bruce-newman
Personal
JD, Yeshiva University, Benjamin N. Cardozo School of Law, 1991
magna cum laude
BA, Rutgers University, 1987
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