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Bruce Newman

Wilmer Cutler Pickering Hale and Dorr LLP

Bruce H. 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.

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.

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.

EDUCATION :

  • JD, Yeshiva University, Benjamin N. Cardozo School of Law, 1991
  • BA, Rutgers University, 1987

ADMISSIONS : New York

GOVERNMENT EXPERIENCE :

  • Securities and Exchange Commission
  • Division of Enforcement, Branch Chief

Cost

Rate : $$$

What types of cases Attorney Bruce Newman & Wilmer Cutler Pickering Hale and Dorr LLP can handle?
Wilmer Cutler Pickering Hale and Dorr LLP can handle cases related to laws concerning Banking, Securities Fraud. We manually verify each attorney’s practice areas before approving their profiles and reviews on our website.
Where is Wilmer Cutler Pickering Hale and Dorr LLP located?
Wilmer Cutler Pickering Hale and Dorr LLP is located at 7 World Trade Center, 250 Greenwich St, New York, NY 10006, USA. You can reach out to Wilmer Cutler Pickering Hale and Dorr LLP using their phone line 212.230.8835. You can also check their website wilmerhale.com or email them at BRUCE.NEWMAN@WILMERHALE.COM.
How much would it cost to hire Wilmer Cutler Pickering Hale and Dorr LLP?
Bruce Newman lawyer charges are specific to each case. However, they work with contingency fees and its ranges from $$ to $$$. They also provide free consultation [and no obligation quotes] if you are interested to hire.
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Wilmer Cutler Pickering Hale and Dorr LLP
7 World Trade Center, 250 Greenwich St, New York, NY 10006, USA
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