Bruce H. Newman

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.

Good to know

Areas of Practice 1) Corporate and 2) Securities Litigation
Law School Yeshiva University, Benjamin N. Cardozo School of Law, J.D.,1991
Education Rutgers University, B.A.,1987
Bar Member / Association New York State Bar Association
Most recent firm WilmerHale
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