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Provided by Bruce H Newman
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
JD, Yeshiva University, Benjamin N. Cardozo School of Law, 1991
magna cum laude
BA, Rutgers University, 1987
Provided by Chambers
Bruce Newman enjoys an excellent reputation in the New York market for his representation of financial organizations in the comprehensive range of broker-dealer regulatory matters.
Provided by Chambers
"He has been everywhere in the industry and is very effective."
"He has been everywhere in the industry and is very effective."
