Bruce H. Newman - Wilmer Cutler Pickering Hale and Dorr LLP

Bruce H. Newman

Listed in Best Lawyers since 2008
Phone: 212-230-8835

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.


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.

Yeshiva UniversityJ.D. Rutgers UniversityBA

Client Comments

"Bruce is an excellent lawyer who understands his practice area extraordinarily well. He brings creativity and sound judgment to everything he works on and is a pleasure to deal with."

"Bruce is a pleasure to work with. His low-key approach is appreciated by business clients, as is his deep understanding of broker-dealer regulatory issues. Bruce considers issues carefully, regularly providing advice with which both in-house counsel and business clients can be comfortable."

"Bruce Newman is clearly one of the top broker-dealer regulatory attorneys in the country. His background as both a regulator and as an in-house regulatory lawyer is immensely helpful as he genuinely understands how the business works and how regulators think. He is strong across all products, but stands out for his deep experience in the fixed income space."

Office Location

Seven World Trade Center
250 Greenwich Street
New York, NY 10007
United States

Practice Areas

Administrative / Regulatory Law (Regulatory)