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Bruce H. Newman

Seven World Trade Center, 250 Greenwich Street, New York, New York 10007
Firm: Wilmer Cutler Pickering Hale and Dorr LLP  |  Website

Bruce H. Newman

Seven World Trade Center, 250 Greenwich Street, New York, New York 10007
Firm: Wilmer Cutler Pickering Hale and Dorr LLP
Bruce H. Newman's Profile Image
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Overview
Firm

Wilmer Cutler Pickering Hale and Dorr LLP


Years In Practice


Phone Number (212) 230-8800

Bruce H. Newman is a partner in the firm's Securities Department, and a member of the Broker-Dealer Compliance and Regulation, Futures and Derivatives and FinTech Groups. He joined the firm in 2001.

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.

What legal services does this lawyer offer?
Education
Yeshiva University, J.D.
Graduated
Contact Details and Office Locations
Office: (212) 230-8800
Seven World Trade Center, 250 Greenwich Street
New York, New York 10007
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