Newman_Bruce

Bruce H. Newman

ShareShare
  • Share This Page
  • FacebookFacebook
  • LinkedinLinkedIn
  • X (Formerly Twitter)X (Formerly Twitter)
  • PinterestPinterest
  • EmailEmail
Download IconDownload
Print IconPrint

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.

Practice

At UBS Warburg and PaineWebber, Mr. Newman primarily was responsible for designing, implementing and maintaining a comprehensive program to ensure that the firms’ securities businesses operated in compliance with all relevant rules and regulations. He conducted training, provided legal and compliance advice, researched legal issues, wrote policies and procedures and supervised a staff that monitored trading and sales activities. Mr. Newman began his legal career at the SEC as a Staff Attorney in 1991 and served as Branch Chief of the Broker-Dealer Enforcement Division from 1994 to 1996. Before joining UBS Warburg, he was with PaineWebber Inc., serving as Assistant General Counsel from 1996 to 1997 and as Director of Compliance - Capital Markets from 1997 to 2000.

Recognition

  • Recognized for his broker-dealer practice in the 2009–2023 editions of Chambers USA Guide
  • Selected by his peers for inclusion in the Best Lawyers in America for 2008–2023 in the area of administrative law

Insights & News

Credentials

  • Education

    • JD, Yeshiva University, Benjamin N. Cardozo School of Law, 1991

      magna cum laude Alexander Fellow; Member, Cardozo Law Review
    • BA, Rutgers University, 1987

  • Admissions

    • New York

  • Government Experience

    • Securities and Exchange Commission

      Division of Enforcement

      Branch Chief

Credentials

Notice

Unless you are an existing client, before communicating with WilmerHale by e-mail (or otherwise), please read the Disclaimer referenced by this link.(The Disclaimer is also accessible from the opening of this website). As noted therein, until you have received from us a written statement that we represent you in a particular manner (an "engagement letter") you should not send to us any confidential information about any such matter. After we have undertaken representation of you concerning a matter, you will be our client, and we may thereafter exchange confidential information freely.

Thank you for your interest in WilmerHale.